Matthew Crump
Professional summary
Matthew Crump was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Matthew is a previously registered financial advisor and started their career in finance in 1989. Prior to being barred, Matthew had worked at 10 firms, which includes USCA ASSET MANAGEMENT LLC, HITHERLANE PARTNERS LLC, AMERICAN GENERAL SECURITIES INCORPORATED, CUTTER & COMPANY INC., CITIGROUP GLOBAL MARKETS INC., NATIONSSECURITIES, MARKET STREET SECURITIES INC., BOATMEN'S INVESTMENT SERVICES INC., CHARLES SCHWAB & CO. INC., EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2007 - June 20, 2011
USCA ASSET MANAGEMENT LLC
October 11, 2006 - May 23, 2008
HITHERLANE PARTNERS, LLC
May 17, 2006 - June 20, 2011
HITHERLANE PARTNERS, LLC
March 28, 2005 - May 5, 2006
AMERICAN GENERAL SECURITIES INCORPORATED
July 13, 2000 - December 15, 2004
CUTTER & COMPANY, INC.
July 13, 1998 - July 7, 2000
CITIGROUP GLOBAL MARKETS INC.
August 13, 1997 - August 29, 1997
NATIONSSECURITIES
August 15, 1994 - February 6, 1996
MARKET STREET SECURITIES, INC.
April 7, 1994 - August 13, 1997
BOATMEN'S INVESTMENT SERVICES, INC.
October 21, 1991 - March 31, 1993
CHARLES SCHWAB & CO., INC.
June 20, 1989 - October 9, 1991
EDWARD JONES
Primary Firm SEC Registration
USCA ASSET MANAGEMENT LLC
CRD#: 137045 / SEC#: 801-64873
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 8
Date: 7/7/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
USCA ASSET MANAGEMENT LLC
CRD#: 137045 / SEC#: 801-64873
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25 |
| AUM (Assets Under Management) | $ 173,590,390 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/26/2022 |
Red Flags
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