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Chadwick D. Carrick

THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.
Fairhope, AL 36532
Some features on this profile are disabled
CRD#: 3093870
CC

Professional summary

Chadwick David Carrick, who also goes by Chad David Carrick, Chadwick Davie Carrick, is a registered financial professional currently at THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C. located in Fairhope, Alabama.

Chadwick is registered as a RR (Registered Representative) and started their career in finance in 1998. Chadwick has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chad David Carrick | Chadwick Davie Carrick

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Chadwick David Carrick's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 11, 2017 - Present

THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.

Office #1: 311 Magnolia Ave, Fairhope, AL 36532
BD
CRD#: 41282
Fairhope, AL
Past

July 7, 2015 - August 18, 2017

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA
CRD#: 793
MOBILE, AL
Past

July 7, 2015 - August 18, 2017

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
MOBILE, AL
Past

October 13, 2009 - July 7, 2015

INTL ADVISORY CONSULTANTS INC.

RIA
CRD#: 130888
MOBILE, AL
Past

September 14, 2009 - July 7, 2015

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
MOBILE, AL
Past

June 1, 2009 - September 15, 2009

MORGAN STANLEY

RIA
CRD#: 149777
FAIRHOPE, AL
Past

June 1, 2009 - September 15, 2009

MORGAN STANLEY

BD
CRD#: 149777
FAIRHOPE, AL
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
FAIRHOPE, AL
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
FAIRHOPE, AL
Past

May 19, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
FAIRHOPE, AL
Past

May 19, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
FAIRHOPE, AL
Past

March 22, 2000 - May 24, 2004

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
FAIRHOPE, AL
Past

September 15, 1998 - May 24, 2004

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(8/18/2017)
RR
Arizona
(1/25/2023)
RR
Colorado
(8/23/2017)
RR
Florida
(8/11/2017)
RR
Georgia
(8/11/2021)
RR
Illinois
(8/11/2017)
RR
Indiana
(8/23/2017)
RR
Kentucky
(11/4/2021)
RR
Mississippi
(8/18/2017)
RR
New York
(10/29/2024)
RR
North Carolina
(3/12/2021)
RR
Oklahoma
(7/16/2021)
RR
Tennessee
(6/29/2022)
RR
Texas
(8/11/2017)
RR
Washington
(8/11/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 9/18/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/14/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TJ
THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.
D/B/A JEFFREY MATTHEWS FINANCIAL GROUP | THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C. | JEFFREY MATTHEWS & CO., INC. | HALPERT, COHEN AND COMPANY, INC.

CRD#: 41282 / SEC#: , 8-49352

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
30b Vreeland Road Ste 210, Florham Park, NJ 07932
Mailing Address
30b Vreeland Road Ste 210, Florham Park, NJ 07932
Phone number
(973) 805-6222
Established
New Jersey since 10/09/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HALPERT, JEFFREY ROSSCEO2072459
HALPERT, JEFFREY ROSSPRESIDENT2072459
HYNES, EDWARD JAMES JRMEMBER1058397
PASCULLI, ANTHONY GREGORYMEMBER2238324
CHIECO, DAVID ANTHONYMEMBER1563513
FEINSTEIN, GEOFF IRAMEMBER2259310
ALMERINI, LOUIS ACHILLEFINOP1605183
COLARUSSO, GINNYCCO4221362
GARBUS, STEVEN DAVIDMEMBER1268525

Disclosures

Regulatory Event6
Arbitration2

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.

Company Information

THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.

CRD#: 41282Fairhope, AL 36532

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