Individual Firm
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JOHN PATRICK MCCARTHY
JACK MCCARTHY
CRD#: 1820873
IA
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STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 500 YGNACIO VALLEY ROAD, SUITE 490
WALNUT CREEK, CA 94596
WALNUT CREEK, CA 94596
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4/23/2015
Customer Dispute
Settled
State Registrations
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Arizona 12/11/2023
B
Massachusetts 5/21/2020
B
California 11/1/2011
B
Missouri 1/22/2020
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California 11/2/2011
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Nevada 11/2/2011
B
Connecticut 11/1/2011
B
New York 11/1/2011
B
Florida 11/1/2011
B
North Carolina 10/23/2014
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Hawaii 11/1/2011
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Ohio 11/2/2011
B
Idaho 7/15/2020
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Oregon 5/9/2014
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Indiana 8/10/2021
B
Pennsylvania 11/2/2011
B
Iowa 1/8/2018
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Texas 1/24/2012
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Louisiana 11/1/2011
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Washington 11/1/2011
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Maryland 11/1/2011
SRO Registrations
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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 11/2/2011
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Registered with this firm since 11/1/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/30/2006 - 11/02/2011 | SAN FRANCISCO, CA | |
B | 07/13/1999 - 11/02/2011 | SAN FRANCISCO, CA | |
B | 04/01/1996 - 07/20/1999 | GLENDALE, CA | |
B | 06/24/1993 - 04/01/1996 | ||
B | 06/01/1989 - 09/13/1991 | APPLETON, WI | |
B | 07/20/1988 - 05/20/1989 |
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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.
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.