Matthew D. Vertin
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 David Vertin 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 65, Series 63, Series 99TO, SIE, Series 7 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
May 17, 2022 - June 26, 2024
TM CAPITAL LLC
May 17, 2002 - February 28, 2022
ICAPITAL MARKETS LLC
November 27, 2001 - May 29, 2002
GUGGENHEIM INVESTOR SERVICES, LLC
November 29, 1996 - November 28, 2000
PRUDENTIAL EQUITY GROUP, LLC
September 5, 1995 - July 31, 1996
G.RESEARCH, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
TM CAPITAL LLC
CRD#: 27438 / SEC#: , 8-42193
Contact information
Documents
Red Flags
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