Denis J. Mcevoy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Denis James Mcevoy, who also goes by James Mcevoy, was a registered financial professional .
Denis is a previously registered financial professional and started their career in finance in 2003. Denis had worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 79, Series 86, Series 87, Series 21, Series 55, Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2013 - November 15, 2021
TAGLICH BROTHERS, INC.
October 18, 2012 - February 7, 2013
SUSQUEHANNA FINANCIAL GROUP, LLLP
June 10, 2011 - January 31, 2012
TICONDEROGA SECURITIES LLC
December 16, 2010 - June 10, 2011
SOLEIL SECURITIES CORPORATION
October 2, 2006 - April 5, 2010
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
September 29, 2006 - April 5, 2010
REDI GLOBAL TECHNOLOGIES LLC
May 9, 2005 - October 24, 2006
GOLDMAN SACHS & CO. LLC
October 9, 2003 - January 15, 2004
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
TAGLICH BROTHERS, INC.
CRD#: 29102 / SEC#: 801-68376, 8-44118
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 21
Date: 9/25/2008
NYSE Front Line Specialist ClerkSeries 55
Date: 2/14/2008
Limited Representative-Equity Trader ExamSeries 25
Date: 1/17/2007
NYSE Trading Assistant ExaminationCurrent Firm
TAGLICH BROTHERS, INC.
CRD#: 29102 / SEC#: 801-68376, 8-44118
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 190 |
| AUM (Assets Under Management) | $ 45,136,551 |
Disclosures
| Regulatory Event | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
