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Matthew Paul Doyle

CRD# 2364096·Registered 1996 - 2012
Previously Registered: Being a previously registered professional could mean that Matthew 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.

Professional Summary

Matthew Paul Doyle was a registered financial advisor. Matthew was a previously registered financial professional and started their career in finance 1996 - 2012. Matthew had worked at 4 firms and has passed the Series 63, Series 55, Series 7, Series 4 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

33 years in the financial services industry

Current & Past Employments

ESSEX RADEZ LLC·CRD# 34649
BD
Chicago, IL
March 31, 2009 - June 4, 2012
CASSANDRA TRADING GROUP, LLC·CRD# 117818
BD
Chicago, IL
December 12, 2002 - October 12, 2007
TRITAURIAN CAPITAL, INCORPORATED·CRD# 45500
BD
New York, NY
January 29, 1999 - June 1, 2001
ABN AMRO CLEARING USA LLC·CRD# 14020
BD
Chicago, IL
April 25, 1996 - October 8, 1996

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Current Firm

ER
ESSEX RADEZ LLC

ESSEX RADEZ COMPANY | ESSEX RADEZ LLC

CRD#: 34649 / SEC#: 8-45175
BD
Terminated by SEC on 04/02/2019

Contact Information

Established

Illinois since 07/29/1977

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
RADEZ, STEPHEN ANTHONYCHIEF COMPLIANCE OFFICER/MANAGING MEMBER/SENIOR EXECUTIVE OFFICER—
RICH, GREGORY ROBERTPRINCIPAL OPERATIONS OFFICER1316406
SLOAN, JACQUELINE LEEFINOP2717305

Disclosures

Regulatory Event

25

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 2000About the Series 63 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Jul 2000

Series 7 — General Securities Representative Examination

Passed Nov 1993About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Aug 1998About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Jul 1998About the Series 24 exam

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CRS (Client Relationship Summary)

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

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