Matthew J. Kessler
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 Jay Kessler, AIF®, CIMA® was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1985. Matthew had worked at 20 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 62 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2021 - April 9, 2026
GLOBALIST CAPITAL, LLC
September 1, 2020 - March 30, 2021
BROKERBANK SECURITIES, INC.
December 21, 2016 - May 4, 2018
SAXONY CAPITAL MANAGEMENT, LLC
December 20, 2016 - May 4, 2018
PATRICK CAPITAL MARKETS, LLC
February 11, 2015 - December 15, 2016
FOUR WOOD CAPITAL ADVISORS
August 29, 2014 - December 22, 2016
FORESIDE FUND SERVICES, LLC
August 8, 2012 - September 4, 2014
AST INVESTOR SERVICES LLC
June 5, 2012 - June 26, 2012
PATRICK CAPITAL MARKETS, LLC
July 1, 2010 - December 5, 2011
GUGGENHEIM INVESTMENTS
July 1, 2010 - December 5, 2011
GUGGENHEIM DISTRIBUTORS, LLC
January 5, 2010 - June 1, 2010
WAVELAND CAPITAL PARTNERS LLC
September 23, 2009 - June 1, 2010
WAVELAND CAPITAL PARTNERS LLC
September 29, 2006 - April 3, 2009
BLACKROCK INVESTMENT MANAGEMENT, LLC
September 29, 2006 - April 2, 2009
BLACKROCK INVESTMENTS, LLC
April 2, 2004 - September 29, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
November 13, 2003 - September 29, 2006
FAM DISTRIBUTORS, INC.
May 16, 2002 - August 14, 2002
COAST ASSET SECURITIES LLC
August 4, 1998 - April 11, 2002
UBS FINANCIAL SERVICES INC.
April 7, 1994 - August 12, 1998
ALLIANCEBERNSTEIN INVESTMENTS, INC.
August 9, 1993 - September 13, 1993
PALMAS INVESTMENTS
May 20, 1986 - September 10, 1990
KRUPP SECURITIES CORPORATION
April 9, 1985 - August 13, 1986
B & D EQUITIES 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
Series 62
Date: 11/17/1989
Corporate Securities Limited Representative ExaminationCurrent Firm
GLOBALIST CAPITAL, LLC
CRD#: 152786 / SEC#: , 8-68478
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
