Individual Firm
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PETER JOHN MCCARTHY
PETER J MCCARTHY
CRD#: 1486735
IA
B
PARK AVENUE SECURITIES LLCCRD#: 46173 2111 RT 34 SOUTH
WALL, NJ 07719
WALL, NJ 07719
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6/18/2004
Customer Dispute
Settled
State Registrations
B
Connecticut 1/3/2024
B
Illinois 1/24/2024
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Connecticut 1/3/2024
B
New Jersey 7/31/2023
B
Florida 1/4/2024
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New Jersey 8/29/2023
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Florida 1/4/2024
IA
New York 1/3/2024
IA
Illinois 1/18/2024
B
New York 1/4/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
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Registered with this firm since 8/29/2023
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Registered with this firm since 7/31/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/29/2012 - 04/07/2022 | NEW YORK, NY | |
B | 05/30/2013 - 12/01/2014 | NEW YORK, NY | |
B | 01/12/2006 - 10/06/2011 | NEW YORK, NY | |
B | 06/02/2004 - 04/18/2006 | NEW YORK, NY | |
B | 04/01/1998 - 12/31/2005 | NEW YORK, NY | |
B | 08/09/1989 - 04/06/1998 | NEW YORK, NY | |
B | 02/05/1988 - 07/25/1988 | ||
B | 10/22/1986 - 04/07/1988 |
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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.
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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.