James 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.
James Mccarthy was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 5 firms and has passed the Series 63, Series 15, Series 3, Series 5, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2007 - February 27, 2013
INVESCO DISTRIBUTORS, INC.
January 24, 2007 - December 7, 2007
AT INVESTOR SERVICES, INC.
September 24, 2001 - January 26, 2007
LIME TRADING CORP
March 7, 2000 - November 10, 2000
CITIGROUP GLOBAL MARKETS INC.
July 5, 1985 - February 15, 2000
ROTHSCHILD & CO US INC.
April 13, 1981 - March 28, 1985
CITIGROUP GLOBAL MARKETS 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
Series 15
Date: 12/6/1982
Foreign Currency Options ExaminationSeries 5
Date: 10/15/1981
Interest Rate Options ExaminationCurrent Firm
INVESCO DISTRIBUTORS, INC.
CRD#: 7369 / SEC#: , 8-21323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | DIRECT OWNER | |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARRIS, JERRY CLINTON II | DIRECTOR | 3275064 |
| KRAMER, BRIAN KEITH | DIRECTOR | 4132102 |
| MCDONOUGH, JOHN CARLIN | PRESIDENT/CEO/DIRECTOR | 2363299 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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