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Jonathan Earle Mccarty

Ria Advisors

Houston, TX

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Current Employers
Ria Advisors

11750 Katy Freeway Suite 840, Houston, TX 77079 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-02-23
  • TX RA
    APPROVED
    Since 2023-02-23

Branch Locations

11750 Katy Freeway Suite 840, Houston, TX 77079 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Santa Monica CA 06/2012 05/2018
Bank Of America, N.A. Santa Monica CA 11/2012 05/2018
Jpmorgan Securities Llc Houston TX 10/2018 01/2022
Jpmorgan Chase Bank, N.A. Houston TX 10/2018 01/2022
Unemployed Willis TX 05/2018 09/2018
Fca Corp Houston TX 01/2022 09/2022
Unemployed Willis TX 09/2022 02/2023
Ria Advisors Houston TX 02/2023 Present
  • 06/2012 → 05/2018
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Santa Monica, CA
  • 11/2012 → 05/2018
    Bank Of America, N.A.
    Santa Monica, CA
  • 10/2018 → 01/2022
    Jpmorgan Securities Llc
    Houston, TX
  • 10/2018 → 01/2022
    Jpmorgan Chase Bank, N.A.
    Houston, TX
  • 05/2018 → 09/2018
    Unemployed
    Willis, TX
  • 01/2022 → 09/2022
    Fca Corp
    Houston, TX
  • 09/2022 → 02/2023
    Unemployed
    Willis, TX
  • 02/2023 → Present
    Ria Advisors
    Houston, TX
Previous Registrations
  • 2022-03-17 → 2022-10-13
    Fca Corp
    Houston, TX
  • 2012-09-17 → 2018-05-24
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Santa Monica, CA
    Encino, CA
    Los Angeles, CA
    Woodland Hills, CA
    Beverly Hills, CA
    Santa Monica, CA
    Santa Monica, CA
    Beverly Hills, CA
    West Los Angeles, CA
    Santa Monica, CA
    Los Angeles, CA
Other Businesses

1) Agent with RIA Insurance Agency LLC; Compensation includes commission from RIA Insurance Agency LLC

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-09-13
S63 Uniform Securities Agent State Law Examination 2012-05-21
  • S66 Uniform Combined State Law Examination
    2012-09-13
  • S63 Uniform Securities Agent State Law Examination
    2012-05-21
Designations
Other Names
  • Jonathan Earle Mccarty
  • Jonathan E Mccarty

View on SEC IAPD

Other Firms

BRIDGE CAPITAL ADVISORS
TSA WEALTH MANAGEMENT
PEREA CAPITAL
TRI-STAR ADVISORS, INC.
HORNOR, TOWNSEND & KENT, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
LPL FINANCIAL LLC
MARINER INDEPENDENT

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CRYSTAL ALLISON MCKEON
AUSTIN GENTRY MARRS
JONATHAN HARRISON SWANBURG
WILLIAM THOMAS PAYNE
JON CARTER VAUGHAN
GREGORY JAMES KALLUS
Philip Chukwuezugo Onochie

Other Offices

BRIDGE CAPITAL ADVISORS · HOUSTON, TX
TSA WEALTH MANAGEMENT · HOUSTON, TX
PEREA CAPITAL · HOUSTON, TX
TRI-STAR ADVISORS, INC. · HOUSTON, TX
HORNOR, TOWNSEND & KENT, LLC · Houston, TX
AMERIPRISE FINANCIAL SERVICES, LLC · Houston, TX
LPL FINANCIAL LLC · HOUSTON, TX
MARINER INDEPENDENT · Houston, TX

More in Houston, TX

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