Matt L. Whitley
Professional summary
Matt Laroy Whitley was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Matt is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Matt had worked at 4 firms, which includes CONCOURSE FINANCIAL GROUP SECURITIES INC., THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, OSAIC FA INC., BMA FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 1998 - November 27, 1998
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 4, 1993 - November 6, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 4, 1993 - November 6, 1998
OSAIC FA, INC.
August 14, 1991 - October 4, 1993
BMA FINANCIAL SERVICES, 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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
Red Flags
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