Matthew L. Chipman
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 Lee Chipman was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1990. Matthew had worked at 6 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 1997 - September 10, 2002
CARLIN EQUITIES, LLC
August 14, 1995 - May 23, 1997
SMITH CULVER INVESTMENTS
December 22, 1994 - July 31, 1995
INTERFIRST CAPITAL CORPORATION
December 13, 1993 - September 6, 1994
VFG SECURITIES, INC.
August 28, 1992 - December 10, 1993
UBS FINANCIAL SERVICES INC.
January 25, 1990 - September 15, 1992
LEHMAN BROTHERS 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: 9/7/2000
Limited Representative-Equity Trader ExamCurrent Firm
CARLIN EQUITIES, LLC
CRD#: 31295 / SEC#: , 8-40963
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARLIN GROUP LLC | OWNER OF CARLIN EQUITIES LLC | |
| BERNSTEIN, SAMUEL H | CHIEF STRATEGIC OFFICER | 2183676 |
| FEIG, ROBERT | VICE PRESIDENT, SALES | 871895 |
| FROMMER, JEREMY PHILLIP | PRESIDENT | 2099159 |
| FROMMER, JEREMY PHILLIP | CHIEF EXECUTIVE OFFICER | 2099159 |
| PORTNOI, ALAN SCOTT | MANAGING DIRECTOR, INSTITUTIONAL SALES | 1537825 |
| SHAH, UPENDRA KANTILAL | CHIEF INFORMATION OFFICER | |
| SHEAR, RONALD HENRY | CHAIRMAN | 420846 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
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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