Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Denis? Claim Your ProfileDenis McCarthy is a financial professional with over 20 years of experience in the industry. Denis is currently registered with J.P. Morgan Securities LLC and has previously held positions at J.P. MORGAN PRIME INC., J.P. MORGAN CLEARING CORP., RBC DAIN RAUSCHER INC., and SUTRO & CO. INCORPORATED. Denis holds various licenses, including Series 4, 9, 10, 14, 8, 24, 99TO, 79TO, 57TO, SIE, and 55. Denis provides portfolio management for individuals and businesses, as well as financial planning and pension consulting services.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
02/20/2004 - Present
J.p. Morgan Securities LLC (NEW YORK NY)
NY
07/21/2017 - 08/29/2018
J.P. MORGAN PRIME INC. (NEW YORK NY)
NY
02/20/2004 - 10/01/2016
J.P. MORGAN CLEARING CORP. (BROOKLYN NY)
NY
03/09/2002 - 01/23/2004
RBC DAIN RAUSCHER INC. (NEW YORK NY)
CA
12/07/1998 - 03/09/2002
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
IA
Issued 07/06/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/25/1999
Series 14 - Compliance Officer Examination
BC
Issued 05/10/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 11/06/1998
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/05/1999
Series 55 - Limited Representative-Equity Trader Exam
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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