Matthew A. Bell
Professional summary
Matthew A Bell was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Matthew is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, Matthew had worked at 7 firms, which includes SECURITIES AMERICA INC., WFG ADVISORS LP, ALAMO ASSET ADVISORS, WFG INVESTMENTS INC., RAYMOND JAMES & ASSOCIATES INC., PRUDENTIAL EQUITY GROUP LLC, KERCHEVILLE & COMPANY INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2013 - October 3, 2013
SECURITIES AMERICA, INC.
January 6, 2010 - March 15, 2010
WFG ADVISORS, LP
October 12, 2009 - December 23, 2013
ALAMO ASSET ADVISORS
July 31, 2009 - June 20, 2013
WFG INVESTMENTS, INC.
April 7, 2003 - August 6, 2009
RAYMOND JAMES & ASSOCIATES, INC.
March 21, 2003 - August 6, 2009
RAYMOND JAMES & ASSOCIATES, INC.
June 26, 2001 - March 25, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 11, 2001 - March 25, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 20, 1998 - April 27, 2001
KERCHEVILLE & COMPANY, 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
Current Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
