Matthew A. Henahan
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 Augustus Henahan, CFP®, who also goes by Matt Henahan, Matthew A Henahan, Matthew Augustus Henahan Sr, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1985. Matthew had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 55 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
Start date: 2016
Experience
January 17, 2017 - June 8, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 12, 2017 - June 8, 2018
TD AMERITRADE, INC.
January 11, 2017 - June 8, 2018
TD AMERITRADE, INC.
January 18, 2013 - May 26, 2015
UBS FINANCIAL SERVICES INC.
December 14, 2012 - May 26, 2015
UBS FINANCIAL SERVICES INC.
November 15, 2011 - July 3, 2012
G-2 TRADING,LLC
September 7, 2005 - October 3, 2011
FIRST NEW YORK SECURITIES L.L.C.
March 24, 2005 - September 13, 2005
REDWOOD BROKERAGE LLC
November 28, 1997 - June 20, 2000
CITIGROUP GLOBAL MARKETS INC.
March 6, 1996 - September 1, 1998
SALOMON BROTHERS INC.
January 1, 1988 - March 13, 1996
PRUDENTIAL EQUITY GROUP, LLC
February 22, 1986 - December 16, 1987
LEHMAN BROTHERS INC.
November 7, 1985 - February 14, 1986
DREXEL BURNHAM LAMBERT 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
Series 55
Date: 9/19/2005
Limited Representative-Equity Trader ExamCurrent Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
