Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid McCarthy is a financial advisor with Barclays Capital Inc.. David McCarthy has been in the industry since 1989 and has a broad range of experience in the securities industry. David McCarthy is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, 24, 63, and 72 licenses. David McCarthy also has experience with Lehman Brothers Inc., Lehman Government Securities Inc., and Lehman Special Securities Inc.. David McCarthy is registered in all 50 states and the District of Columbia.
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
CA
09/22/2008 - Present
Barclays Capital Inc. (SAN FRANCISCO CA)
CA
11/21/1989 - 09/22/2008
LEHMAN BROTHERS INC. (SAN FRANCISCO CA)
NA
11/21/1989 - 10/23/1995
LEHMAN GOVERNMENT SECURITIES INC.
NA
11/21/1989 - 07/18/1994
LEHMAN SPECIAL SECURITIES INC.
BC
Issued 11/13/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/03/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/1989
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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