Shawn P. Matthews
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.
Shawn Peter Matthews was a registered financial professional .
Shawn is a previously registered financial professional and started their career in finance in 1990. Shawn had worked at 10 firms and has passed the Series 63, Series 65, SIE, 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
August 4, 2014 - June 13, 2018
CFWP SECURITIES, LLC
January 31, 2006 - May 14, 2018
CANTOR FITZGERALD & CO.
July 1, 2002 - December 31, 2005
ALCHEMIST CAPITAL MANAGEMENT LLC
June 16, 1999 - March 18, 2002
WEST SIDE CAPITAL, LLC
March 4, 1998 - February 3, 1999
IMPERIAL CAPITAL, LLC
March 20, 1997 - February 16, 1998
TUCKER ANTHONY INCORPORATED
May 22, 1995 - January 3, 1996
HILLTOP SECURITIES INC.
March 17, 1993 - August 24, 1994
WESTCAP GOVERNMENT SECURITIES, INC.
March 17, 1993 - April 24, 1995
WESTCAP SECURITIES, L.P.
July 30, 1990 - February 10, 1993
SCHRODER & CO. 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
CFWP SECURITIES, LLC
CRD#: 170228 / SEC#: , 8-69415
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANTOR FITZGERALD WEALTH PARTNERS HOLDINGS, LLC | PARENT COMPANY | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| KAPLAN, MARK ELLIOT | CHIEF EXECUTIVE OFFICER | 2618079 |
| PAULSON, KENNETH MICHAEL | CHIEF FINANCIAL OFFICER | 2862259 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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