Matthew H. Merritt
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 Harrison Merritt SR, who also goes by Matt Merritt, Matthew Harrison Merritt, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1990. Matthew had worked at 3 firms and has passed the Series 63, Series 3 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
November 18, 1994 - February 26, 1999
J.C. BRADFORD & CO.
July 2, 1993 - November 16, 1994
UBS FINANCIAL SERVICES INC.
September 14, 1990 - July 27, 1993
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
Current Firm
J.C. BRADFORD & CO.
CRD#: 1287 / SEC#: , 8-3953
Contact information
Documents
Disclosures
| Regulatory Event | 35 |
| Civil Event | 2 |
| 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.
