Matthew L. Rubin
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 Lewis Rubin, who also goes by Matt Rubin, Matthew L Rubin, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1995. Matthew had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 2013 - December 31, 2015
THE LEADERS GROUP, INC.
March 15, 2013 - December 9, 2013
NYLIFE SECURITIES LLC
January 30, 2004 - December 31, 2012
HIMCO DISTRIBUTION SERVICES COMPANY
June 5, 2003 - January 5, 2004
VP DISTRIBUTORS LLC
July 26, 2002 - June 23, 2003
WS GRIFFITH SECURITIES, INC.
October 13, 1998 - August 22, 2002
NATHAN & LEWIS SECURITIES, INC.
November 8, 1995 - October 26, 1998
WS GRIFFITH SECURITIES, 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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
