Matthew J. Geraty
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 James Geraty, who also goes by Matt James Geraty, Matt Geraty, Matthew Geraty, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1984. Matthew had worked at 12 firms and has passed the Series 63, Series 3, Series 7, Series 8, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2003 - August 19, 2003
E-W INVESTMENTS, INC.
December 14, 1998 - February 6, 2001
WMA SECURITIES, INC.
December 7, 1995 - December 13, 1996
FIRST ASSOCIATED SECURITIES GROUP, INC.
March 14, 1995 - July 20, 1995
SAPERSTON FINANCIAL INC.
May 12, 1994 - March 10, 1995
WMA SECURITIES, INC.
February 18, 1993 - April 22, 1993
KENNEDY, CABOT & CO.
February 24, 1992 - January 20, 1993
PAULSON INVESTMENT COMPANY LLC
June 12, 1991 - January 8, 1992
PRUCO SECURITIES, LLC.
February 2, 1988 - February 27, 1991
AMERIPRISE ADVISOR SERVICES, INC.
February 19, 1987 - February 4, 1988
FIRST AFFILIATED SECURITIES, INC.
November 18, 1986 - February 25, 1987
PFS INVESTMENTS INC.
August 7, 1985 - August 28, 1986
KENNEDY, CABOT & CO.
April 12, 1985 - May 17, 1985
PFS INVESTMENTS INC.
June 12, 1984 - January 22, 1985
PRUDENTIAL EQUITY GROUP, LLC
March 23, 1984 - May 7, 1984
INTERFIRST CAPITAL CORPORATION
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 8
Date: 6/21/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
E-W INVESTMENTS, INC.
CRD#: 17463 / SEC#: , 8-35259
Contact information
Disclosures
| Regulatory Event | 2 |
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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