David Mathews
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.
David Mathews, who also goes by David Alan Mathews, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 3 firms and has passed the Series 65, Series 3 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2017 - December 14, 2018
FIDUCIA GROUP, LLC
January 1, 2007 - March 7, 2017
SNOW CAPITAL MANAGEMENT, L.P.
August 21, 1984 - August 22, 1989
FIDUCIARY INVESTMENT COMPANY, INC.
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
FIDUCIA GROUP, LLC
CRD#: 147134 / SEC#: 801-69357
Contact information
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.
