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RICHARD JOHN MCCARTHY is currently employed as a Broker and/or Investment Adviser at OPPENHEIMER & CO. INC. located at MISSION FARMS, 10601 MISSION ROAD 3RD FLR, LEAWOOD, KS, 66206.
RICHARD JOHN MCCARTHY has worked at OPPENHEIMER & CO. INC. since March 23, 1990
RICHARD JOHN MCCARTHY has 1 Disclosure Event(s).
Date: January 11, 1990All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
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