Matthew N. Semonsen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Matthew Neil Semonsen was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1982. Matthew had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 5, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2020 - December 16, 2020
BEQUIA SECURITIES, LLC
October 21, 1997 - April 16, 1999
INTERCAL SECURITIES CO.
January 28, 1995 - October 6, 1995
UBS FINANCIAL SERVICES INC.
June 26, 1989 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
March 16, 1982 - July 13, 1989
PRUDENTIAL EQUITY GROUP, LLC
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
Series 7TO
Date: 2/11/2020
General Securities Representative ExaminationSeries 5
Date: 11/5/1982
Interest Rate Options ExaminationCurrent Firm
BEQUIA SECURITIES, LLC
CRD#: 285783 / SEC#: , 8-69860
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BEQUIA CAPITAL, LLC | MEMBER | |
| DORFMAN, ESTEE CARLA | FINOP, CFO | 2696529 |
| SLACHTA, LARA ANN | CEO, CCO, EXEC REP. |
Red Flags
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