Christopher J. Matthaei
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.
Christopher Jacob Matthaei was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2001. Christopher had worked at 11 firms and has passed the Series 63, Series 65, Series 57TO, Series 79TO, SIE, Series 55 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
March 22, 2010 - April 15, 2022
ELEVATION, LLC
November 5, 2008 - March 2, 2010
THE BENCHMARK COMPANY, LLC
October 7, 2008 - November 25, 2008
COWEN EXECUTION SERVICES LLC
August 30, 2005 - June 1, 2007
GFI SECURITIES LLC
July 14, 2005 - August 25, 2005
DEUTSCHE BANK SECURITIES INC.
January 25, 2005 - July 19, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
February 19, 2004 - February 3, 2005
EVOLUTION FINANCIAL TECHNOLOGIES, LLC
December 12, 2002 - March 26, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 2002 - March 26, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 7, 2002 - October 31, 2002
DOMESTIC SECURITIES, INC.
March 25, 2002 - April 29, 2002
REDI GLOBAL TECHNOLOGIES LLC
November 5, 2001 - August 1, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 11/28/2001
Limited Representative-Equity Trader ExamCurrent Firm
ELEVATION, LLC
CRD#: 140341 / SEC#: , 8-67306
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHEEHAN, PATRICK JAMES | MANAGING MEMBER | 2053134 |
| SARAH TRENT HARRIS IRREVOCABLE FAMILY TRUST | PASSIVE INVESTOR | |
| BARTON ASSET MANAGEMENT, LLC | PASSIVE INVESTOR | |
| CARTER III, WARREN SMOOT | PARTNER | 6751824 |
| HARRIS, MATTHEW CARTER | TRUSTEE | 6178227 |
| LUCAS, CLAIRE TOURNE | PASSIVE INVESTOR | |
| LUCAS, HAINES DEMAREST | PASSIVE INVESTOR | |
| LUCAS, JOSIAH CHARLES TRENT | TRUSTEE | 6178218 |
| PEAK6 INVESTMENTS, L.P. | PASSIVE INVESTOR | |
| PETERSON, KELSEY CARL III | REGISTERED OPTIONS PRINCIPAL | 6684459 |
| SHEEHAN, JOHN MICHAEL BYRNE | PARTNER, CEO | 2272269 |
| SILVER, SCOTT MICHAEL | CHIEF COMPLIANCE OFFICER - CCO | 2290261 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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