John Matthews
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.
John Matthews, who also goes by John Mathew, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1996. John had worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2014 - December 11, 2020
SWEDBANK SECURITIES US, LLC
February 27, 1996 - December 4, 2000
SWEDBANK SECURITIES INCORPORATED
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
SWEDBANK SECURITIES US, LLC
CRD#: 141190 / SEC#: , 8-67369
Contact information
Documents
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.
