Matthew A. Clinton
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 Adams Clinton was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1985. Matthew had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2019 - December 14, 2021
IMPERIAL CAPITAL, LLC
January 4, 2017 - July 23, 2019
MORGAN STANLEY & CO. LLC
September 22, 2008 - September 28, 2016
BARCLAYS CAPITAL INC.
September 3, 2002 - September 22, 2008
LEHMAN BROTHERS INC.
September 21, 1994 - September 4, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 22, 1985 - June 28, 1994
MORGAN STANLEY & CO. LLC
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 7TO
Date: 3/7/2024
General Securities Representative ExaminationCurrent Firm
IMPERIAL CAPITAL, LLC
CRD#: 43744 / SEC#: , 8-50397
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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