Matthew N. Littauer
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 Nguyen Littauer, who also goes by Nguyen K Littauer, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1994. Matthew had worked at 4 firms and has passed the Series 63, 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
May 19, 2000 - May 21, 2004
NEW WORLD FINANCIAL, INC.
June 25, 1996 - December 31, 2000
PACIFIC CONTINENTAL SECURITIES CORPORATION
November 8, 1995 - July 11, 1996
UNITED CALIFORNIA SECURITIES, INC.
November 10, 1994 - June 6, 1995
JAMES CAPEL INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NEW WORLD FINANCIAL, INC.
CRD#: 47747 / SEC#: , 8-51915
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
