Donald P. 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.
Donald Philip Mccarthy, who also goes by Donald Phillip Mccarthy, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1978. Donald had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2001 - September 29, 2025
WOOD (ARTHUR W.) COMPANY, INC.
January 25, 1988 - January 7, 1989
LEHMAN BROTHERS INC.
January 14, 1987 - November 19, 1987
HOMANS, MCGRAW, TRULL, VALEO & CO., INC.
December 23, 1981 - February 17, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
November 26, 1979 - January 4, 1982
E. F. HUTTON & COMPANY INC
November 1, 1978 - November 23, 1979
FIRST JERSEY SECURITIES, 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
Current Firm
WOOD (ARTHUR W.) COMPANY, INC.
CRD#: 3798 / SEC#: , 8-3368
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCCARTHY, DONALD PHILIP | DIRECTOR, PRESIDENT/CEO, CCO | 858923 |
Disclosures
| Regulatory Event | 10 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
