Robert T. Mccarthy
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.
Robert Thomas Mccarthy was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1978. Robert had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2017 - February 13, 2020
NATALLIANCE SECURITIES, LLC
May 17, 2006 - June 2, 2015
STERNE, AGEE & LEACH, INC.
January 21, 2003 - May 17, 2006
FIRST SOUTHWEST COMPANY, LLC
May 22, 2001 - August 15, 2002
MOMENTUM INDEPENDENT NETWORK INC.
September 4, 1990 - June 28, 1999
WELLS FARGO CLEARING SERVICES, LLC
August 20, 1990 - August 29, 1990
WESTCAP SECURITIES, L.P.
November 13, 1989 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
October 24, 1988 - November 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
July 14, 1986 - October 31, 1988
RAUSCHER PIERCE REFSNES, INC.
May 14, 1985 - July 9, 1986
ROTAN MOSLE INC.
January 24, 1985 - April 25, 1985
FINANCIAL SQUARE PARTNERS
June 4, 1984 - February 25, 1985
ACI SECURITIES,INC.
July 11, 1978 - May 24, 1984
WESTCAP SECURITIES, L.P.
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 8
Date: 7/6/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NATALLIANCE SECURITIES, LLC
CRD#: 39455 / SEC#: , 8-48723
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATALLIANCE HOLDING COMPANY LLC | OWNER | |
| ADAMS, JASON | BOARD MEMBER | 2690575 |
| BRENNER, ANDREW SCOTT | BOARD MEMBER | 1227535 |
| BUSH, FRED COSTON | CFO/COO | 3075024 |
| CARREON, MICHELLE ELLIS | CCO | 4861485 |
| GIORDANO, MICHAEL JAMES | BOARD MEMBER | 5942248 |
| HENDRICKSON, GEORGE ALEXANDER BROWN | BOARD MEMBER | 2382347 |
| LIEPMAN, JOHN FRANCIS | BOARD MEMBER | 2037298 |
| LOERCH, SAMUEL JAMES | BOARD MEMBER | 1195328 |
| SALTER, MARK MYLES | BOARD MEMBER/CEO/PRESIDENT | 1180139 |
| TAYLOR, BRADFORD STEPHEN | BOARD MEMBER | 5751455 |
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.
