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MW

Matthew G. Winslow

Some features on this profile are disabled
CRD#: 2628719
MW

Professional summary

Matthew Gary Winslow was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Matthew Gary Winslow was a registered financial advisor .

Matthew is a previously registered financial advisor and started their career in finance in 1995. Matthew had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 11, 2008 - May 19, 2009

JESUP & LAMONT SECURITIES CORP

RIA
CRD#: 39056
BOCA RATON, FL
Past

November 25, 2008 - May 19, 2009

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
BOCA RATON, FL
Past

June 18, 2008 - December 31, 2008

JESUP & LAMONT ADVISORS

RIA
CRD#: 108006
NEW YORK, NY
Past

June 25, 2002 - November 26, 2008

EMPIRE FINANCIAL GROUP, INC.

BD
CRD#: 28759
BOCA RATON, FL
Past

January 17, 2001 - June 18, 2002

RUSHMORE SECURITIES CORPORATION

BD
CRD#: 8392
DALLAS, TX
Past

March 13, 2000 - February 27, 2001

NORTHSTAR SECURITIES, INC.

BD
CRD#: 11247
DALLAS, TX
Past

July 2, 1999 - March 29, 2000

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

August 28, 1998 - July 6, 1999

SIGMA FINANCIAL CORPORATION

BD
CRD#: 14303
ANN ARBOR, MI
Past

September 3, 1996 - August 28, 1998

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

July 27, 1995 - September 5, 1996

STRATEGIC RESOURCE MANAGEMENT, INC.

BD
CRD#: 28974
AURORA, CO
Past

June 16, 1995 - July 28, 1995

PACIFIC CORTEZ SECURITIES INCORPORATED

BD
CRD#: 24341
SAN DIEGO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/18/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/19/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/15/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/6/2000
General Securities Principal Examination

Current Firm

J&
JESUP & LAMONT SECURITIES CORP
BROADMARK CAPITAL CORP | JESUP & LAMONT SECURITIES CORP. | JESUP & LAMONT SECURITIES CORP | BROADMARK SECURITIES CORPORATION | BROADMARK CAPITAL CORP.

CRD#: 39056 / SEC#: , 8-48893

BD
Terminated by SEC on 11/23/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Washington since 07/27/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
JESUP AND LAMONT, INCOWNER
HOLUB, WILLIAM CFINOP, CFO, COO, CCO2680290

Disclosures

Regulatory Event15
Arbitration3

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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Company Information

JESUP & LAMONT SECURITIES CORP

CRD#: 39056

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