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MS

Matthew A. Sawyer

CLARENDON INSURANCE AGENCY
Waltham, MA 02451
Some features on this profile are disabled
CRD#: 1727291
MS

Professional summary

Matthew Allen Sawyer, who also goes by Matt Allen Sawyer, is a registered financial professional currently at CLARENDON INSURANCE AGENCY, INC. located in Waltham, Massachusetts.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 1994. Matthew has worked at 12 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Matt Allen Sawyer

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 Allen Sawyer'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®
None

Experience

Current

December 9, 2019 - Present

CLARENDON INSURANCE AGENCY, INC.

Office #1: 230 3rd Ave 6th Floor, Waltham, MA 02451
BD
CRD#: 7395
Waltham, MA
Past

July 10, 2019 - July 30, 2019

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
BOZEMAN, MT
Past

May 20, 2019 - July 30, 2019

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
BOZEMAN, MT
Past

September 11, 2018 - May 17, 2019

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

March 24, 2006 - May 28, 2009

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

August 22, 2005 - March 1, 2006

LINCOLN FINANCIAL DISTRIBUTORS, INC.

RIA
CRD#: 145
BOZEMAN, MT
Past

August 19, 2005 - March 1, 2006

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

November 22, 2001 - August 25, 2006

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 106629
BOSTON, MA
Past

January 24, 2000 - August 8, 2005

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA
Past

March 27, 1997 - January 20, 2000

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
COLUMBUS, OH
Past

October 9, 1996 - April 1, 1997

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

May 9, 1996 - September 10, 1996

ARM SECURITIES CORPORATION

BD
CRD#: 932
MINOT, ND
Past

April 7, 1994 - January 1, 1996

FUNDMARK INVESTMENT COMPANY SERVICES, INC.

BD
CRD#: 13066

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alaska
(12/9/2019)
RR
Idaho
(12/9/2019)
RR
Montana
(12/9/2019)
RR
Oregon
(12/9/2019)
RR
Utah
(12/9/2019)
RR
Washington
(12/9/2019)
RR
Wyoming
(12/9/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/27/2019
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/29/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/19/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/6/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/10/2018
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/1995
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CLARENDON INSURANCE AGENCY, INC.
CLARENDON INSURANCE AGENCY, INC. | GEORGE E. MADEN | EMAC TRADING LLC

CRD#: 7395 / SEC#: , 8-21590

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

Main Address
230 3rd Ave 6th Floor, Waltham, MA 02451
Mailing Address
230 3rd Ave 6th Floor, Waltham, MA 02451
Phone number
(781) 790-8600
Established
Massachusetts since 03/04/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DELAWARE LIFE INSURANCE COMPANYSOLE SHAREHOLDER
BLOOM, MICHAEL SCOTTDIRECTOR & SECRETARY5200070
CAREY, ELIZABETHCHIEF COMPLIANCE OFFICER4889080
JOSEPH, JAMESFINANCIAL AND OPERATIONS PRINCIPAL6576566
LAKE, COLIN CPRESIDENT AND DIRECTOR2717313
WANG, FANG LINDADIRECTOR7675208

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

CLARENDON INSURANCE AGENCY, INC.

CRD#: 7395Waltham, MA 02451

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