Thomas E. Mccarthy
Professional summary
Thomas E Mccarthy, who also goes by Thomas Emmett Mccarthy, is a registered financial professional currently at WALLEYE TRADING LLC located in Wayzata, Minnesota.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2014. Thomas has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas E Mccarthy's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 25, 2022 - Present
WALLEYE TRADING LLC
Office #1: 401 Lake Street East 3rd Floor, Wayzata, MN 55391November 13, 2018 - August 23, 2022
RBC CAPITAL MARKETS, LLC
December 16, 2014 - June 4, 2018
PIPER SANDLER & CO.
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 55
Date: 2/23/2015
Limited Representative-Equity Trader ExamBOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
WALLEYE TRADING LLC
CRD#: 136196 / SEC#: , 8-66988
Contact information
Documents
Disclosures
| Regulatory Event | 14 |
Red Flags
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