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Matthew W. Oliver

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CRD#: 3117614
MO

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 William Oliver, who also goes by Matthew W Oliver, was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 1998. Matthew had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Matthew W Oliver

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 20, 2015 - June 29, 2016

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
West Conshohocken, PA
Past

July 31, 2012 - April 20, 2015

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
WEST CONSHOHOCKEN, PA
Past

November 1, 2011 - July 17, 2012

C. L. KING & ASSOCIATES, INC.

BD
CRD#: 6183
NEW YORK, NY
Past

March 23, 2011 - October 12, 2011

MERRIMAN CAPITAL, INC.

BD
CRD#: 18296
NEW YORK, NY
Past

April 23, 2007 - March 16, 2011

BOENNING & SCATTERGOOD, INC.

BD
CRD#: 100
WEST CONSHOHOCKEN, PA
Past

June 13, 2005 - April 24, 2007

EMERGING GROWTH EQUITIES, LTD.

BD
CRD#: 47040
KING OF PRUSSIA, PA
Past

March 10, 2004 - January 7, 2005

B. RILEY & CO., LLC

BD
CRD#: 40355
LOS ANGELES, CA
Past

August 14, 2002 - March 3, 2004

SIDOTI & COMPANY, LLC

BD
CRD#: 102860
NEW YORK, NY
Past

November 21, 2000 - December 22, 2000

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

September 16, 1998 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

September 16, 1998 - January 26, 2000

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/24/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/29/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/20/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/11/1998
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CC
CRT CAPITAL GROUP LLC
CREDIT RESEARCH AND TRADING CORP. | STERNE AGEE CRT | CRT CAPITAL GROUP LLC | CREDIT RESEARCH AND TRADING LLC

CRD#: 28830 / SEC#: , 8-43940

BD
Terminated by SEC on 11/29/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/31/1993
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CRT GREENWICH LLCPARENT COMPANY
KALISH, GEOFFREY ORINBOARD CHAIRMAN OF PARENT COMPANY AND CCO
NIELSEN, JOHN DAVIDGENERAL COUNSEL5889411
TUITE, ROBERT KEVINCHIEF FINANCIAL OFFICER AND FINOP2862493

Disclosures

Regulatory Event13

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

CRT CAPITAL GROUP LLC

CRD#: 28830

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