Matthew L. Clark
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 Luc Clark was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1994. Matthew had worked at 6 firms and has passed the Series 63, SIE, Series 79, Series 7, Series 55 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
June 1, 2011 - November 29, 2023
BTIG, LLC
January 10, 2011 - May 31, 2011
COINBASE SECURITIES, INC.
April 28, 2009 - July 29, 2009
THINKEQUITY LLC
September 1, 2005 - September 25, 2006
THINKEQUITY LLC
February 20, 2004 - September 12, 2005
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
October 1, 1997 - November 13, 2003
BANC OF AMERICA SECURITIES LLC
March 22, 1994 - October 1, 1997
MONTGOMERY SECURITIES
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
Series 55
Date: 1/27/2005
Limited Representative-Equity Trader ExamCurrent Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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