Individual Firm
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PATRICK MCCARTHY JR
PATRICK MC CARTHY JR, PATRICK MC CARTHY JR JR, PATRICK MC CARTHY JR. JR, PATRICK MCCARTHY, PATRICK MCCARTHY JR. JR
CRD#: 1268256
IA
B
MORGAN STANLEYCRD#: 149777 100 North Tampa Street
Suite 3000
Tampa, FL 33602
Suite 3000
Tampa, FL 33602
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1/13/2011
Customer Dispute
Settled
11/30/2010
Customer Dispute
Settled
6/26/2009
Customer Dispute
Settled
4/23/1991
Customer Dispute
Settled
State Registrations
B
Alabama 1/28/2019
B
Minnesota 8/20/2019
B
Arizona 8/22/2019
B
New York 6/1/2009
B
California 6/1/2009
B
North Carolina 6/19/2015
B
Colorado 6/1/2009
B
Texas 6/1/2009
B
Florida 6/1/2009
IA
Texas 6/1/2009
IA
Florida 6/1/2009
B
Washington 6/1/2009
B
Massachusetts 6/1/2009
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | TAMPA, FL | |
B | 04/02/2007 - 06/01/2009 | TAMPA, FL | |
IA | 01/01/1991 - 04/02/2007 | TAMPA, FL | |
B | 07/25/1989 - 04/02/2007 | TAMPA, FL | |
B | 06/06/1989 - 09/11/1989 | WEEHAWKEN, NJ | |
B | 02/01/1988 - 06/17/1989 | ||
B | 02/23/1987 - 02/05/1988 | ||
B | 05/23/1984 - 04/02/1986 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.