Matthew G. Casey
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 Gerard Casey was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1991. Matthew had worked at 13 firms and has passed the Series 65, Series 63 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
December 1, 2016 - February 3, 2018
NEWDAY
November 17, 2015 - February 4, 2016
ABD RETIREMENT SERVICES, INC.
June 10, 2011 - June 25, 2014
BANCWEST INVESTMENT SERVICES, INC.
June 2, 2011 - June 25, 2014
BANCWEST INVESTMENT SERVICES, INC.
November 11, 2005 - November 13, 2007
COMERICA SECURITIES
October 25, 2005 - November 13, 2007
COMERICA SECURITIES
September 9, 2004 - February 3, 2005
O'HEARN CAPITAL MANAGEMENT
October 15, 2001 - July 9, 2004
HSBC BROKERAGE (USA) INC.
March 16, 2000 - November 21, 2000
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
July 1, 1998 - April 6, 2000
COWEN AND COMPANY
May 30, 1997 - July 1, 1998
FINANCIAL SQUARE PARTNERS
September 16, 1996 - May 21, 1997
WELLS FARGO CLEARING SERVICES, LLC
August 5, 1994 - September 17, 1996
HAMBRECHT & QUIST LLC
June 28, 1993 - August 5, 1994
PRUDENTIAL EQUITY GROUP, LLC
January 10, 1991 - July 1, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
NEWDAY
CRD#: 174758 / SEC#: 801-112212
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
NEWDAY
CRD#: 174758 / SEC#: 801-112212
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26 |
| AUM (Assets Under Management) | $ 172,421,272 |
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.
