Matthew J. Quall
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 John Quall, who also goes by Matthew Quall, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1985. Matthew had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3, Series 5, Series 9 and Series 10 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 - June 11, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 3, 2017 - June 11, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 6, 2006 - March 6, 2017
WELLS FARGO CLEARING SERVICES, LLC
February 3, 2006 - March 6, 2017
WELLS FARGO CLEARING SERVICES, LLC
January 10, 2001 - February 23, 2006
UBS FINANCIAL SERVICES INC.
January 5, 2001 - February 23, 2006
UBS FINANCIAL SERVICES INC.
December 4, 1996 - January 10, 2001
PRUDENTIAL EQUITY GROUP, LLC
January 28, 1992 - November 26, 1996
GRUNTAL & CO., L.L.C.
August 23, 1989 - February 5, 1992
LEHMAN BROTHERS INC.
November 3, 1987 - August 28, 1989
CIBC WORLD MARKETS CORP.
November 24, 1986 - November 10, 1987
J.P. MORGAN SECURITIES LLC
May 3, 1985 - December 2, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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 5
Date: 1/15/1985
Interest Rate Options ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
