David S. Matthews
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.
David Scott Matthews was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1973. David had worked at 2 firms and has passed the Series 63, SIE, Series 55, Series 7, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 2001 - December 10, 2015
SHUFRO, ROSE & CO., LLC
November 21, 1973 - July 27, 1998
HERZOG, HEINE, GEDULD, LLC
Primary Firm SEC Registration
SHUFRO, ROSE & CO., LLC
CRD#: 3403 / SEC#: 801-977, 8-4024
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: 1/14/2002
Limited Representative-Equity Trader ExamPC
Date: 7/1/1979
AMEX Put and Call ExamSeries 1
Date: 11/15/1973
Registered Representative ExaminationCurrent Firm
SHUFRO, ROSE & CO., LLC
CRD#: 3403 / SEC#: 801-977, 8-4024
Contact information
SEC notice filing (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEIT, STEPHEN DAVID | SENIOR MANAGING DIRECTOR | 818707 |
| SHUFRO, EDWARD GEORGE | SENIOR MANAGING DIRECTOR, CEO | 422885 |
| CONTANT, JOHN MARINUS | SENIOR MANAGING DIRECTOR | 2810876 |
| GLASS, STEVEN JEFFREY | SENIOR MANAGING DIRECTOR, CFO, FINOP | 1756153 |
| WACHT, HARVEY | SENIOR MANAGING DIRECTOR | 456036 |
| EDWARDS, MYLES JOSHUA IV | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, AML- CO, GENERAL COUNSEL | 2040332 |
| KAMINSKY, TONIA | SENIOR MANAGING DIRECTOR | 4134855 |
| SHUFRO, GREGORY DAVID | SENIOR MANAGING DIRECTOR | 4718283 |
Regulatory assets under management
| Total Number of Accounts | 1,338 |
| AUM (Assets Under Management) | $ 2,165,482,981 |
Disclosures
| Regulatory Event | 11 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/17/2024 | ||
| 06/14/2023 |
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.
