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MK

Matthew J. Kessler

GLOBALIST CAPITAL
Santa Monica, CA 90401
Some features on this profile are disabled
CRD#: 1356709
MK

Professional summary

Matthew Jay Kessler, AIF®, CIMA® is a registered financial professional currently at GLOBALIST CAPITAL, LLC located in Santa Monica, California.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 1985. Matthew has worked at 20 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 62 and Series 22 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Matthew Jay Kessler's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
AIF®

Accredited Investment Fiduciary

CIMA®

Certified Investment Management Analyst

Experience

Current

April 14, 2021 - Present

GLOBALIST CAPITAL, LLC

Office #1: 100 Wilshire Blvd. Suite 750, Santa Monica, CA 90401
BD
CRD#: 152786
Santa Monica, CA
Past

September 1, 2020 - March 30, 2021

BROKERBANK SECURITIES, INC.

BD
CRD#: 130116
MINNETONKA, MN
Past

December 21, 2016 - May 4, 2018

SAXONY CAPITAL MANAGEMENT, LLC

RIA
CRD#: 122692
Los Angeles, CA
Past

December 20, 2016 - May 4, 2018

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
ST LOUIS, MO
Past

February 11, 2015 - December 15, 2016

FOUR WOOD CAPITAL ADVISORS

RIA
CRD#: 165047
LOS ANGELES, CA
Past

August 29, 2014 - December 22, 2016

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

August 8, 2012 - September 4, 2014

AST INVESTOR SERVICES LLC

BD
CRD#: 155050
NEW YORK, NY
Past

June 5, 2012 - June 26, 2012

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
ST LOUIS, MO
Past

July 1, 2010 - December 5, 2011

GUGGENHEIM INVESTMENTS

RIA
CRD#: 105477
NEW YORK, NY
Past

July 1, 2010 - December 5, 2011

GUGGENHEIM DISTRIBUTORS, LLC

BD
CRD#: 40805
ROCKVILLE, MD
Past

January 5, 2010 - June 1, 2010

WAVELAND CAPITAL PARTNERS LLC

RIA
CRD#: 40054
IRVINE, CA
Past

September 23, 2009 - June 1, 2010

WAVELAND CAPITAL PARTNERS LLC

BD
CRD#: 40054
IRVINE, CA
Past

September 29, 2006 - April 3, 2009

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 108928
PLAINSBORO, NJ
Past

September 29, 2006 - April 2, 2009

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
NEW YORK, NY
Past

April 2, 2004 - September 29, 2006

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA
CRD#: 105068
SANTA MONICA, CA
Past

November 13, 2003 - September 29, 2006

FAM DISTRIBUTORS, INC.

BD
CRD#: 4100
NEW YORK, NY
Past

May 16, 2002 - August 14, 2002

COAST ASSET SECURITIES LLC

BD
CRD#: 29319
SANTA MONICA, CA
Past

August 4, 1998 - April 11, 2002

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

April 7, 1994 - August 12, 1998

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NASHVILLE, TN
Past

August 9, 1993 - September 13, 1993

PALMAS INVESTMENTS

BD
CRD#: 19471
WESTBORO, MA
Past

May 20, 1986 - September 10, 1990

KRUPP SECURITIES CORPORATION

BD
CRD#: 10908
BOSTON, MA
Past

April 9, 1985 - August 13, 1986

B & D EQUITIES INC.

BD
CRD#: 6719

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/31/2004
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/28/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/23/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/4/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/6/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 11/17/1989
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 4/8/1985
Direct Participation Programs Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GC
GLOBALIST CAPITAL, LLC
GLOBALIST CAPITAL, LLC | HIGHLINE SECURITIES, LLC | GLOBALIST SECURITIES, LLC

CRD#: 152786 / SEC#: , 8-68478

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
100 Wilshire Blvd. Suite 750, Santa Monica, CA 90401
Mailing Address
100 Wilshire Blvd. Suite 750, Santa Monica, CA 90401
Phone number
(310) 319-2000
Established
Delaware since 11/06/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BARON ADVISORS, LLCMANAGING MEMBER
KIRSCHENBLATT, CHAD ETHANCFO/FINOP2503352
MORGANBESSER, NEIL BARRYCEO/CCO2375615

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.

Company Information

GLOBALIST CAPITAL, LLC

CRD#: 152786Santa Monica, CA 90401

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