Robert J. Mathews
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.
Robert John Mathews, who also goes by Robert Mathews, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 8 firms and has passed the Series 65, Series 63, Series 56, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2011 - March 19, 2012
COASTAL TRADE SECURITIES, LLC
May 20, 2004 - July 18, 2006
AARON CAPITAL INCORPORATED
November 7, 2001 - June 20, 2002
WORLDCO, L.L.C.
July 9, 2001 - October 8, 2001
WORLDCO, L.L.C.
March 13, 2000 - January 5, 2001
GLOBAL PARTNERS SECURITIES INC.
August 30, 1999 - January 20, 2000
LLOYD WADE SECURITIES INC.
August 5, 1998 - July 29, 1999
HAMPTON-PORTER, INVESTMENT BANKERS, A CALIFORNIA LLC
February 20, 1998 - December 30, 1998
FORTRESS FINANCIAL GROUP, LTD.
May 5, 1997 - February 9, 1998
LLOYD WADE SECURITIES INC.
September 18, 1996 - May 21, 1997
RICKEL & ASSOCIATES, 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
Series 56
Date: 10/27/2011
Proprietary Trader Qualification ExaminationSeries 55
Date: 3/27/2000
Limited Representative-Equity Trader ExamCurrent Firm
COASTAL TRADE SECURITIES, LLC
CRD#: 148246 / SEC#: , 8-67999
Contact information
Documents
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
