James D. 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 Dennis Mccarthy was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1978. James had worked at 14 firms and has passed the Series 63, Series 7 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2001 - March 28, 2003
FLAGSTONE SECURITIES, LLC
September 8, 2000 - June 11, 2001
K. W. CHAMBERS & CO.
May 8, 1997 - September 1, 1998
CARDINAL INVESTMENTS, INC.
November 4, 1994 - May 10, 1995
AUGMENT SECURITIES INC.
February 2, 1994 - October 27, 1994
D. BLECH & COMPANY, INCORPORATED
March 17, 1988 - February 2, 1989
MORGAN STANLEY DW INC.
April 23, 1986 - February 20, 1988
CITIGROUP GLOBAL MARKETS INC.
April 26, 1985 - April 19, 1986
J.P. MORGAN SECURITIES LLC
January 18, 1984 - May 22, 1984
D. H. BLAIR & CO., INC.
November 28, 1981 - January 23, 1984
CIBC WORLD MARKETS CORP.
November 12, 1981 - May 3, 1985
CIBC WORLD MARKETS CORP.
September 7, 1980 - November 6, 1981
KIDDER, PEABODY & CO. INCORPORATED
January 16, 1979 - May 6, 1985
E. F. HUTTON & COMPANY INC
September 26, 1978 - January 26, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 25, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 5
Date: 11/19/1981
Interest Rate Options ExaminationCurrent Firm
FLAGSTONE SECURITIES, LLC
CRD#: 104451 / SEC#: , 8-52912
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FLAGSTONE CAPITAL, LLC | SOLE MEMBER | |
| FRAGER, NORMAN | FINOP/CHIEF COMPLIANCE OFFICER/CROP | 212448 |
| HARRIS, EUGENE WHITNEY | MANAGING DIRECTOR | 2583498 |
| LYONS, CYNTHIA DAWN | CHIEF OPERATING OFFICER/SROP | 1722606 |
| POWERS, CHRISTOPHER LARRY | MANAGING DIRECTOR/PRINCIPAL | 4008477 |
| RILEY, WILLIAM PATRICK JR | MANAGING DIRECTOR/PRINCIPAL | 376847 |
Red Flags
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