Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gerard? Claim Your ProfileGerard Thomas McCarthy has been in the financial services industry since November 1999 and holds a variety of licenses and registrations, including Series 7, 9, 10, 14, 24, 55, 63, 65, 99, and SIE. Gerard is currently registered with Safra Securities LLC, where he has been employed since September 2019. Prior to this, Gerard worked for M VEST LLC, Maxim Group LLC, and Investec Ernst & Company. Gerard is licensed in Florida and New York.
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.
1
2
NY
09/13/2019 - Present
Safra Securities LLC (NEW YORK NY)
NY
01/08/2019 - 09/06/2019
M VEST LLC (New York NY)
NY
10/23/2002 - 09/06/2019
MAXIM GROUP LLC (NEW YORK NY)
NY
11/30/1999 - 10/23/2002
INVESTEC ERNST & COMPANY (NEW YORK NY)
IA
Issued 09/28/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/19/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 03/11/2003
Series 4 - Registered Options Principal Examination
BC
Issued 05/15/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/05/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/29/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/30/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/27/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
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