Pels A. Matthews
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.
Pels Alexander Matthews was a registered financial professional .
Pels is a previously registered financial professional and started their career in finance in 1993. Pels had worked at 8 firms and has passed the Series 65, 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 14, 2011 - June 18, 2012
VCG SECURITIES, LLC
April 10, 2008 - January 26, 2010
SPEARHEAD CAPITAL, LLC
April 23, 2007 - May 14, 2008
SINCLAIR & COMPANY, LLC
August 27, 2001 - March 9, 2007
CITIGROUP GLOBAL MARKETS INC.
October 8, 1998 - March 9, 2007
CITIGROUP GLOBAL MARKETS INC.
May 12, 1998 - October 16, 1998
NEPTUNE SECURITIES FINANCE CORPORATION
August 21, 1997 - October 8, 1998
CITICORP SECURITIES, INC.
October 2, 1995 - August 15, 1997
STORMHARBOUR SECURITIES LP
April 27, 1993 - September 15, 1995
GE CAPITAL MARKETS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
VCG SECURITIES, LLC
CRD#: 149083 / SEC#: , 8-68104
Contact information
Documents
Red Flags
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