Matthew J. Gardiner
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 James Gardiner was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1988. Matthew had worked at 11 firms and has passed the Series 63, Series 55, 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
July 10, 2006 - February 23, 2007
PRESTIGE FINANCIAL CENTER, INC.
September 10, 2004 - November 5, 2004
DOMESTIC SECURITIES, INC.
September 18, 2002 - February 14, 2003
WORLDCO, L.L.C.
August 16, 2001 - August 20, 2002
FIRST MONTAUK SECURITIES CORP.
April 19, 2001 - September 17, 2001
WORLDCO, L.L.C.
November 22, 1991 - January 26, 2001
J.W. BARCLAY & CO., INC.
April 20, 1990 - August 28, 1991
COMMONWEALTH ASSOCIATES
April 19, 1989 - April 16, 1990
CROWN FINANCIAL GROUP, INC.
January 4, 1989 - April 8, 1989
FIRST INTERREGIONAL EQUITY CORP.
May 6, 1988 - December 3, 1988
GREENTREE SECURITIES CORP.
April 13, 1988 - March 10, 1998
OPPENHEIMER & CO. INC.
February 23, 1988 - April 13, 1988
FAHNESTOCK INTERNATIONAL 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
Series 55
Date: 2/9/1999
Limited Representative-Equity Trader ExamCurrent Firm
PRESTIGE FINANCIAL CENTER, INC.
CRD#: 30407 / SEC#: , 8-44919
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT PRESTIGE, LLC | OWNER | |
| KIRSHBAUM, LAWRENCE GARY | PRESIDENT/CHIEF FINANCIAL OFFICER/FINOP/CCO | 270856 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 7 |
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.
