Matthew P. Brady
Professional summary
Matthew Peter Brady was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Matthew is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Matthew had worked at 3 firms, which includes GOLDIS FINANCIAL GROUP INC., LEHMAN BROTHERS INC., UBS 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
May 7, 1993 - January 23, 1997
GOLDIS FINANCIAL GROUP, INC.
November 23, 1992 - February 11, 1993
LEHMAN BROTHERS INC.
August 18, 1987 - November 18, 1992
UBS 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
GOLDIS FINANCIAL GROUP, INC.
CRD#: 16444 / SEC#: , 8-33975
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
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.
