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Matthew Greenwald

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CRD#: 229262
MG

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 Greenwald, who also goes by Matthew Grenwald, was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 1969. Matthew had worked at 12 firms and has passed the Series 63, Series 5, Series 000 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Matthew Grenwald

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 20, 1995 - March 28, 2003

D.L. CROMWELL INVESTMENTS, INC.

BD
CRD#: 37730
BOCA RATON, FL
Past

June 1, 1994 - September 1, 1994

K.W. BROWN INVESTMENTS

BD
CRD#: 16492
DELRAY BEACH, FL
Past

March 10, 1989 - March 25, 1992

BROADWAY FINANCIAL INVESTMENT SERVICES CORP.

BD
CRD#: 23906
Past

March 8, 1989 - July 2, 1992

FIRST INSTITUTIONAL SECURITIES, L.L.C.

BD
CRD#: 23910
WEST PATERSON, NJ
Past

August 20, 1984 - December 14, 1987

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829
Past

January 26, 1983 - May 9, 1984

JII SECURITIES INC.

BD
CRD#: 406
Past

July 10, 1979 - January 17, 1983

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Past

September 16, 1977 - October 16, 1977

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

February 9, 1977 - September 16, 1977

SHIELDS MODEL ROLAND INCORPORATED

BD
CRD#: 6750
Past

March 24, 1975 - February 13, 1977

LEHMAN BROTHERS INCORPORATED

BD
CRD#: 514
Past

June 8, 1971 - March 20, 1975

ABRAHAM & COMPANY INC

BD
CRD#: 1000002
Past

October 3, 1969 - July 1, 1971

HARDY & CO.

BD
CRD#: 388

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/10/1979
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 5
Date: 10/16/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 000
Date: 4/6/1960
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/20/1979
Registered Options Principal Examination

Current Firm

DC
D.L. CROMWELL INVESTMENTS, INC.
D.L. CROMWELL INVESTMENTS, INC.

CRD#: 37730 / SEC#: , 8-47938

BD
Cancelled by SEC on 10/09/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 12/05/1994
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
D.L. CROMWELL & CO., LLCSHAREHOLDER
BEIRNE, LLOYD SYLVESTER MARTINMUNI PRINCIPAL/CCO/PRESIDENT/FINOP1982417
DAVIDSON, DAVID STEWARTCHAIRMAN1212799
GREENWALD, MATTHEWSROP/CROP229262

Disclosures

Regulatory Event11
Arbitration6

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.

Company Information

D.L. CROMWELL INVESTMENTS, INC.

CRD#: 37730

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