Frederick W. Mccarthy
Professional summary
Frederick William Mccarthy was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Frederick is a previously registered financial professional and started their career in finance in 1975. Prior to being barred, Frederick had worked at 2 firms, which includes TRIUMPH CORPORATE FINANCE GROUP INC., DREXEL BURNHAM LAMBERT INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 1990 - September 12, 2003
TRIUMPH CORPORATE FINANCE GROUP INC.
March 21, 1975 - February 28, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
TRIUMPH CORPORATE FINANCE GROUP INC.
CRD#: 17022 / SEC#: , 8-34919
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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