Peter D. Mathews
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.
Peter Dennis Mathews was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1968. Peter had worked at 14 firms and has passed the Series 63, Series 5, Series 7, Series 1, Series 4, Series 12 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 1990 - September 26, 1994
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
June 12, 1989 - April 30, 1990
M. H. NOVICK & CO., INC.
November 21, 1988 - January 1, 1989
CRAIG-HALLUM, INC.
February 1, 1988 - November 29, 1988
OBERWEIS SECURITIES, INC.
January 19, 1988 - February 1, 1988
ENGLER-BUDD & COMPANY INC.
September 26, 1985 - January 11, 1988
UBS FINANCIAL SERVICES INC.
March 22, 1982 - September 24, 1985
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
November 12, 1981 - March 31, 1982
SUTRO & CO. INCORPORATED
August 24, 1979 - November 29, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
October 17, 1978 - February 19, 1991
MORGAN STANLEY DW INC.
October 3, 1977 - April 13, 1978
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
June 19, 1973 - January 16, 1975
JOHN G. KINNARD AND COMPANY, INCORPORATED
August 30, 1972 - February 18, 1973
A. G. EDWARDS & SONS, INC.
October 29, 1968 - October 5, 1972
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
October 29, 1968 - October 5, 1972
BLYTH EASTMAN DILLON & CO. INCORPORATED
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 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 1
Date: 10/25/1968
Registered Representative ExaminationSeries 12
Date: 11/21/1981
NYSE Branch Manager ExaminationSeries 00
Date: 7/12/1973
General Securities Principal ExaminationCurrent Firm
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
CRD#: 22171 / SEC#: , 8-39589
Contact information
Documents
Red Flags
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