Matthew J. Pineault
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 Joseph Pineault was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1995. Matthew had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2012 - May 9, 2012
WHITAKER SECURITIES LLC
March 31, 2010 - September 10, 2010
AURORA CAPITAL LLC
July 4, 2007 - March 7, 2008
GFI SECURITIES LLC
July 19, 1995 - December 22, 1997
CANTOR FITZGERALD SECURITIES
July 19, 1995 - December 22, 1997
MINT BROKERS
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WHITAKER SECURITIES LLC
CRD#: 121465 / SEC#: , 8-65419
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOSIA, ROSALIE MARGARET | CHIEF COMPLIANCE OFFICER, CRCP | 4239124 |
Disclosures
| Regulatory Event | 6 |
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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