William H. Matthews
Professional summary
William Henry Matthews was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial advisor and started their career in finance in 1981. Prior to being barred, William had worked at 10 firms, which includes MADISON AVENUE SECURITIES LLC, NEXT FINANCIAL GROUP INC., QUESTAR ASSET MANAGEMENT INC., QUESTAR CAPITAL CORPORATION, KESTRA INVESTMENT SERVICES LLC, MATTHEWS FINANCIAL SERVICES, FSC SECURITIES CORPORATION, WADDELL & REED, PW SECURITIES INC., ANCHOR NATIONAL FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2011 - August 15, 2012
MADISON AVENUE SECURITIES, LLC
August 10, 2011 - August 15, 2012
MADISON AVENUE SECURITIES, LLC
May 17, 2006 - April 8, 2011
NEXT FINANCIAL GROUP, INC.
April 7, 2006 - April 12, 2006
NEXT FINANCIAL GROUP, INC.
April 7, 2006 - April 8, 2011
NEXT FINANCIAL GROUP, INC.
February 2, 2005 - April 10, 2006
QUESTAR ASSET MANAGEMENT, INC.
July 19, 2004 - December 31, 2005
QUESTAR CAPITAL CORPORATION
May 28, 2004 - April 10, 2006
QUESTAR CAPITAL CORPORATION
November 15, 2001 - May 26, 2004
KESTRA INVESTMENT SERVICES, LLC
May 9, 1986 - May 26, 2004
KESTRA INVESTMENT SERVICES, LLC
May 9, 1986 - December 31, 2004
MATTHEWS FINANCIAL SERVICES
April 12, 1984 - November 19, 2001
FSC SECURITIES CORPORATION
September 8, 1982 - April 12, 1984
WADDELL & REED
March 31, 1982 - September 3, 1982
PW SECURITIES, INC.
September 21, 1981 - May 26, 1982
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
