John J. 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.
John Joseph Mccarthy, who also goes by Jack Mccarthy, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1978. John had worked at 8 firms and has passed the SIE and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2017 - October 3, 2022
R.W. SMITH & ASSOCIATES, LLC
October 8, 1997 - September 6, 2017
BUTLER MUNI, LLC
January 8, 1994 - July 9, 1997
TITUS & DONNELLY LLC
October 30, 1993 - December 23, 1993
CANTOR FITZGERALD SECURITIES
October 4, 1993 - December 23, 1993
MINT BROKERS
August 19, 1988 - June 17, 1993
HARTFIELD, TITUS & DONNELLY, LLC
April 6, 1983 - May 3, 1988
TP ICAP GLOBAL MARKETS AMERICAS LLC
August 31, 1978 - June 17, 1987
VIERLING, DEVANEY & MAGUIRE, INC.
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
Current Firm
R.W. SMITH & ASSOCIATES, LLC
CRD#: 16605 / SEC#: , 8-34240
Contact information
FINRA licenses (6 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
