Dennis K. 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.
Dennis Kevin Mccarthy was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1978. Dennis had worked at 9 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
March 30, 2012 - February 4, 2020
BOUSTEAD SECURITIES, LLC
February 4, 2011 - April 30, 2012
COLUMBIA CAPITAL SECURITIES, INC.
June 29, 2004 - December 19, 2008
B. RILEY & CO., LLC
April 3, 2002 - June 3, 2004
THE SEIDLER COMPANIES INCORPORATED
June 24, 1998 - April 5, 2002
ROTH CAPITAL PARTNERS, LLC
December 18, 1997 - March 13, 1998
PRUDENTIAL EQUITY GROUP, LLC
November 25, 1991 - January 14, 1994
CROSS CAPITAL CORPORATION
May 4, 1987 - November 18, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
November 27, 1978 - August 25, 1986
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BOUSTEAD SECURITIES, LLC
CRD#: 141391 / SEC#: , 8-67384
Contact information
FINRA licenses (47 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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