Gender Male
Mr. Carty started in the securities business in 1967 when he joined Merrill Lynch, Pierce, Fenner, & Smith as an Account Executive in their Memphis office. Prior to joining Merrill Lynch, Mr. Carty worked with IBM Corp as a sales representative, both in their Data Processing Division and their Office Products Division. IBM was Mr. Carty’s first
job after graduating from Mississippi State University in 1964 with a BS degree in Civil Engineering. In 1970, Mr. Carty formed Carty & Company, Inc. to deal primarily in Municipal Bonds. The company’s clients at that time were primarily Community Banks. While maintaining emphasis on fixed income securities, the company has grown in size as well as scope, servicing both institutional as well as individual clients in all aspects of investing. Mr. Carty has been the CEO of Carty & Company, Inc. for those forty-six years. The securities industry is extensively regulated and over the years Mr. Carty has been an active participant in many aspects of the regulatory system. He served on the Business Conduct Committee of District 5 of the NASD twice; 1982-1984, and again 1994-1997. He has also served as a NASD Arbitrator since 1985, serving on arbitration panels as well as other disciplinary panels in the past. Mr. Carty has served on other committees of NASD/FINRA such as the Small Firms Advisory Board from 1998-2001.
