Thomas 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.
Thomas John Mccarthy, who also goes by Thomas J Mccarthy, Thomas Mccarthy, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2010. Thomas had worked at 4 firms and has passed the Series 63, Series 66, Series 79TO, Series 52TO, SIE, Series 50 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
March 12, 2021 - March 27, 2022
SIEBERT WILLIAMS SHANK & CO., LLC
February 4, 2019 - February 22, 2021
LOOP CAPITAL MARKETS LLC
April 5, 2012 - September 6, 2013
MORGAN STANLEY
April 5, 2012 - September 6, 2013
MORGAN STANLEY
June 22, 2010 - April 9, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 20, 2010 - April 9, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 79TO
Date: 3/18/2019
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 2/4/2019
Municipal Securities Representative ExaminationCurrent Firm
SIEBERT WILLIAMS SHANK & CO., LLC
CRD#: 42568 / SEC#: , 8-49877
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHANK WILLIAMS CISNEROS, LLC | OWNER | |
| CALABRISOTTO, DIANNE NMN | AML OFFICER | 1273900 |
| CALABRISOTTO, DIANNE NMN | CHIEF COMPLIANCE OFFICER & COO | 1273900 |
| CHANDA, ATEESH SINGH | CHIEF LEGAL OFFICER | 6973151 |
| DIAZ, DANIEL | FINANCIAL PRINCIPAL | 2214417 |
| HALL, GARY | CO-PRESIDENT | 4393662 |
| SHANK-WERDLOW, SUZANNE FRANCES | CEO, DIRECTOR OF PARENT | 1860931 |
| THOMPSON, WILLIAM COLRIDGE JR | CHIEF ADMINISTRATIVE OFFICER | 2316101 |
| WARNER, SOBANI MULENGA | CO-PRESIDENT | 1732009 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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