Matthew T. Mushlin
Professional summary
Matthew Todd Mushlin was barred by the SEC 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 1993. Prior to being barred, Matthew had worked at 5 firms, which includes CUTTER & COMPANY INC., A. CH. SECURITIES INC., CARDINAL INVESTMENTS INC., WEALTH BUILDERS EQUITY CORPORATION, FINANCIAL PLANNING CONSULTANTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 1999 - October 3, 2001
CUTTER & COMPANY, INC.
July 13, 1999 - October 4, 1999
A. CH. SECURITIES, INC.
November 17, 1998 - June 25, 1999
CARDINAL INVESTMENTS, INC.
April 11, 1995 - November 9, 1998
CUTTER & COMPANY, INC.
February 28, 1994 - December 31, 1994
WEALTH BUILDERS EQUITY CORPORATION
October 7, 1993 - February 18, 1994
FINANCIAL PLANNING CONSULTANTS, 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
CUTTER & COMPANY, INC.
CRD#: 22449 / SEC#: 801-62329, 8-39590
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,368 |
| AUM (Assets Under Management) | $ 937,030,989 |
Disclosures
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/13/2025 | ||
| 12/19/2023 |
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.
