Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian McCarthy is a financial professional with over 30 years of experience in the industry. Brian is currently registered with Mizuho Securities USA LLC, where he specializes in a variety of areas. Brian is also a Series 24, Series 7, Series 72, Series 79TO and SIE licensed professional. Brian has previously worked at BNY Mellon Capital Markets, LLC, RBS Securities Inc., ICAP Corporates LLC, Lehman Brothers Inc., Cantor Fitzgerald Partners, Cantor Fitzgerald Securities, ABN AMRO Incorporated, and First Brokers Securities, Inc. Brian is registered to conduct business in 52 states.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
04/04/2022 - Present
Mizuho Securities USA LLC (NEW YORK NY)
NY
12/19/2016 - 04/29/2022
BNY MELLON CAPITAL MARKETS, LLC (NEW YORK NY)
CT
02/22/2010 - 12/22/2016
RBS SECURITIES INC. (STAMFORD CT)
NJ
07/14/2008 - 02/11/2010
ICAP CORPORATES LLC (JERSEY CITY NJ)
NY
06/29/1999 - 06/05/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
10/20/1992 - 03/01/2000
CANTOR FITZGERALD PARTNERS (NEW YORK NY)
NY
10/30/1993 - 02/18/2000
CANTOR FITZGERALD SECURITIES (NEW YORK NY)
CT
11/14/1997 - 06/17/1999
ABN AMRO INCORPORATED (STAMFORD CT)
NJ
06/10/1992 - 09/15/1992
FIRST BROKERS SECURITIES, INC. (JERSEY CITY NJ)
BC
Issued 11/19/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/21/2017
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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