Matthew D. Mudd
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 Dennis Mudd, CIMA®, CPWA® was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1994. Matthew had worked at 13 firms and has passed the Series 66, Series 63, SIE, 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
Start date: 2014-07-23
Expire date: 2023-08-31
Experience
July 6, 2017 - March 15, 2022
TORTOISEECOFIN SECURITIES, LLC
November 17, 2016 - March 15, 2022
TORTOISEECOFIN INVESTMENTS PARTNERS, LLC
June 6, 2016 - November 17, 2016
MONTAGE INVESTMENTS, LLC
June 6, 2016 - July 3, 2017
MSEC, LLC
March 18, 2015 - June 3, 2016
FAS WEALTH PARTNERS, INC.
March 18, 2015 - May 24, 2016
FAS CORP.
July 21, 2014 - March 18, 2015
MORGAN STANLEY
July 11, 2014 - March 18, 2015
MORGAN STANLEY
January 3, 2011 - June 19, 2014
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
July 14, 2010 - January 3, 2011
JPMORGAN DISTRIBUTION SERVICES, INC.
February 9, 2004 - June 30, 2010
GOLDMAN SACHS & CO. LLC
June 4, 2002 - June 30, 2010
GOLDMAN SACHS & CO. LLC
January 1, 2002 - April 30, 2002
PRUDENTIAL EQUITY GROUP, LLC
August 21, 2000 - April 30, 2002
PRUDENTIAL EQUITY GROUP, LLC
May 17, 1995 - August 24, 2000
A. G. EDWARDS & SONS, INC.
September 27, 1994 - May 4, 1995
FIRST HEARTLAND CAPITAL, 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
TORTOISEECOFIN SECURITIES, LLC
CRD#: 285411 / SEC#: , 8-69849
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORTOISEECOFIN BORROWER LLC (FORMERLY TORTOISE BORROWER LLC) | OWNER | |
| BEHRENS, BRENT WAYNE | CFO | |
| BIRZER, HAROLD KEVIN | DIRECTOR | 1410255 |
| BONO, DIANE MARIE | DIRECTOR | 5157289 |
| ELLIOTT, KATHERINE ANN | CHIEF COMPLIANCE OFFICER/PRESIDENT | 5385921 |
| HENSON, GARY PAUL | DIRECTOR | 2130871 |
| JOHNSTON, MICHELLE ROSS | DIRECTOR | 4131976 |
| MCKEIGUE, MICHAEL SULLIVAN | MANAGING DIRECTOR, NATIONAL ACCOUNTS | 2857839 |
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.
