Larry J. Mathewson
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.
Larry Joseph Mathewson was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1982. Larry had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2016 - September 16, 2019
SPC
December 12, 1995 - September 16, 2019
SIGMA FINANCIAL CORPORATION
November 14, 1986 - December 15, 1995
MARINER FINANCIAL SERVICES, INC.
March 19, 1985 - November 28, 1986
MUTUAL SERVICE CORPORATION
June 30, 1982 - April 18, 1985
U.S. MUTUAL SECURITIES CORP.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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