Herbert T. Match
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.
Herbert Ted Match was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1974. Herbert had worked at 9 firms and has passed the Series 63, Series 55, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2011 - May 3, 2012
TOPEKA CAPITAL MARKETS INC.
June 26, 1997 - April 25, 2011
PERSHING LLC
September 25, 1995 - June 30, 1997
BROADCORT CAPITAL CORP.
February 7, 1991 - January 29, 1996
SMITH NEW COURT, INC.
June 2, 1989 - September 21, 1990
CRESVALE INTERNATIONAL, INC.
January 21, 1985 - May 4, 1989
SALOMON BROTHERS INC.
June 15, 1983 - June 4, 1984
UBS ASSET MANAGEMENT (US) INC.
March 8, 1983 - January 22, 1985
UBS FINANCIAL SERVICES INC.
March 22, 1974 - June 11, 1983
NOMURA SECURITIES INTERNATIONAL, 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
Series 55
Date: 3/20/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 3/18/1974
Registered Representative ExaminationCurrent Firm
TOPEKA CAPITAL MARKETS INC.
CRD#: 154133 / SEC#: , 8-68610
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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