Matthew F. Baas
Professional summary
Matthew Francis Baas III 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 professional and started their career in finance in 1991. Prior to being barred, Matthew had worked at 6 firms, which includes LCP CAPITAL CORP., NICHOLS SAFINA LERNER & CO. INC., MASON HILL & CO. INC., GRUNTAL & CO. L.L.C., TUCKER ANTHONY INCORPORATED, LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 1998 - December 16, 1998
LCP CAPITAL CORP.
June 18, 1997 - February 1, 1998
NICHOLS, SAFINA, LERNER & CO. INC.
October 29, 1996 - June 20, 1997
MASON HILL & CO., INC.
August 26, 1993 - October 10, 1996
GRUNTAL & CO., L.L.C.
August 22, 1991 - July 26, 1993
TUCKER ANTHONY INCORPORATED
March 11, 1991 - September 12, 1991
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
LCP CAPITAL CORP.
CRD#: 14469 / SEC#: , 8-44577
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST HANOVER LP | OWNER | |
| LMJG LP | OWNER | |
| WESTAR CAPITAL CORP | OWNER | |
| ALIOTTA, ANTHONY JOSEPH JR | BRANCH MANAGER/DIRECTOR | 2835162 |
| ARMITAGE, RONALD DAVID | COMPLIANCE OFFICER | 7228 |
| BRODY, KEVIN PATRICK | SALES MANAGER/DIRECTOR | 1912980 |
| CUTRONE, NICHOLAS ALEXANDER | ASSISTANT BRANCH MANAGER | 2692158 |
| MURRAY, DAVID MICHAEL | ASSISTANT BRANCH MANAGER | 1870050 |
| NEWMAN, IRA BERNARD | CFO | 1242346 |
| RICCA, GREGORY EMMANUEL | BRANCH MANAGER/DIRECTOR | 2080220 |
| STOFFERS, CHARLES STEVEN | PRESIDENT/CCO | 826603 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 31 |
Red Flags
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