Scott H. Matthews
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.
Scott Herbert Matthews was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1983. Scott had worked at 5 firms and has passed the Series 63, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2012 - February 20, 2013
R.W. SMITH & ASSOCIATES, LLC
October 1, 1999 - September 24, 2012
HARTFIELD, TITUS & DONNELLY, LLC
June 23, 1998 - January 7, 2000
TITUS & DONNELLY LLC
May 18, 1993 - June 8, 1998
J.J. KENNY DRAKE, INC.
November 3, 1983 - March 10, 1987
HARTFIELD, TITUS & DONNELLY, LLC
May 26, 1983 - July 31, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
R.W. SMITH & ASSOCIATES, LLC
CRD#: 16605 / SEC#: , 8-34240
Contact information
FINRA licenses (6 States and Territories)
Documents
Disclosures
| Regulatory Event | 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.
