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John Patrick Mccarthy

Stifel, Nicolaus & Company, Incorporated

Walnut Creek, CA

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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2012-01-24
CA RA APPROVED 2011-11-02
  • TX RA
    APPROVED_RES
    Since 2012-01-24
  • CA RA
    APPROVED
    Since 2011-11-02

Branch Locations

500 Ygnacio Valley Road, Suite 490, Walnut Creek, CA 94596 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel Nicolaus & Co Inc San Francisco CA 11/2011 Present
  • 11/2011 → Present
    Stifel Nicolaus & Co Inc
    San Francisco, CA
Previous Registrations
  • 2006-03-30 → 2011-11-02
    Stone & Youngberg Llc
    San Francisco, CA
    San Francisco, CA
Other Businesses

1. Goldfish Properties; 113 Dorcey Drive, Incline Village, NV 89451; Rental of vacation home; Property Owner; 03/01/2010; 0 Hours per Day; Not During Securities Trading Hours; Investment-Related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-03-22
S63 Uniform Securities Agent State Law Examination 1988-06-01
  • S65 Uniform Investment Adviser Law Examination
    2006-03-22
  • S63 Uniform Securities Agent State Law Examination
    1988-06-01
Other Names
  • Jack Mccarthy

View on SEC IAPD

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