James X. Mccarty
Professional summary
James Xavier Mccarty was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1978. Prior to being barred, James had worked at 7 firms, which includes WINSLOW EVANS & CROCKER INC., DETWILER FENTON & CO., COMMONWEALTH FINANCIAL NETWORK, TOWER SQUARE SECURITIES INC., FIDUCIARY INVESTMENT COMPANY INC., GLOBAL ALTERNATIVE INVESTMENT SERVICES INC., CORNERSTONE FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2004 - January 3, 2005
WINSLOW, EVANS & CROCKER, INC.
October 9, 2001 - February 20, 2004
DETWILER FENTON & CO.
December 21, 1992 - October 9, 2001
COMMONWEALTH FINANCIAL NETWORK
October 20, 1982 - January 15, 1990
TOWER SQUARE SECURITIES, INC.
March 4, 1981 - January 23, 1991
FIDUCIARY INVESTMENT COMPANY, INC.
March 4, 1981 - January 12, 1993
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
January 10, 1978 - June 1, 1981
CORNERSTONE FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 40
Date: 12/31/1977
Registered Principal ExaminationCurrent Firm
WINSLOW, EVANS & CROCKER, INC.
CRD#: 29686 / SEC#: 801-63905, 8-44347
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | SOLE SHAREHOLDER | |
| BERLINE, LEONID | CHIEF COMPLIANCE OFFICER | 3027633 |
Disclosures
| Regulatory Event | 4 |
| Bond | 1 |
Red Flags
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