Matthew D. Wiley
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 David Wiley was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2006. Matthew had worked at 7 firms and has passed the Series 66, SIE 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
August 3, 2018 - July 11, 2019
I-BANKERS DIRECT, LLC
May 24, 2017 - December 26, 2018
I-BANKERS SECURITIES, INC.
November 21, 2016 - May 25, 2017
GARDEN STATE SECURITIES, INC.
January 5, 2015 - May 13, 2016
CORINTHIAN PARTNERS, L.L.C.
August 18, 2014 - December 17, 2014
DAWSON JAMES SECURITIES, INC.
March 20, 2009 - August 13, 2013
DAWSON JAMES SECURITIES, INC.
February 7, 2008 - July 29, 2008
NYLIFE SECURITIES LLC
April 16, 2007 - September 7, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
April 13, 2007 - September 7, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
May 16, 2006 - April 13, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
April 25, 2006 - April 13, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
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
I-BANKERS DIRECT, LLC
CRD#: 167533 / SEC#: , 8-69264
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IB DIRECT, LLC | SOLE MEMBER | |
| THAYER, LARRY DANIEL JR | CCO, CONTROL PERSON FOR SHUTDOWN ACTIVITIES | 4598879 |
Disclosures
| Regulatory Event | 2 |
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.
