Individual Firm
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KATHLEEN HONOR MCCARTHY
KATE MCCARTHY, KATHLEEN H MCCARTHY, Katy H McCarthy
CRD#: 1677723
IA
B
ARCHER INVESTMENT CORPORATIONCRD#: 136403 Fairview Park, OH
PURSHE KAPLAN STERLING INVESTMENTSCRD#: 35747 Fairview Park, OH
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2/27/2009
Customer Dispute
Closed-No Action
State Registrations
B
California 1/6/2017
IA
Ohio 6/5/2023
B
Ohio 1/6/2017
SRO Registrations
B
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IA
Registered with this firm since 6/5/2023
B
Registered with this firm since 1/6/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/03/2017 - 08/23/2023 | WESTLAKE, OH | |
IA | 01/03/2017 - 12/31/2020 | WESTLAKE, OH | |
IA | 10/03/2014 - 01/04/2017 | FAIRVIEW PARK, OH | |
B | 10/03/2014 - 01/04/2017 | FAIRVIEW PARK, OH | |
IA | 10/05/2009 - 10/08/2014 | WESTLAKE, OH | |
B | 10/05/2009 - 10/08/2014 | WESTLAKE, OH | |
IA | 03/02/2009 - 10/05/2009 | WESTLAKE, OH | |
B | 02/06/2009 - 10/05/2009 | WESTLAKE, OH | |
IA | 04/12/2005 - 02/26/2009 | WESTLAKE, OH | |
B | 01/14/2005 - 02/26/2009 | WESTLAKE, OH | |
B | 06/20/2000 - 01/20/2005 | ST. LOUIS, MO | |
B | 10/25/1993 - 06/09/1995 | SMITHFIELD, RI | |
B | 01/03/1991 - 10/19/1993 | SMITHFIELD, RI | |
B | 05/10/1990 - 12/31/1990 | SMITHFIELD, RI | |
B | 11/27/1987 - 05/09/1990 | SMITHFIELD, RI |
SMITHFIELD, RI
10/25/1993 - 06/09/1995
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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.