David W. 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 Walton Matthews JR was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1992. David had worked at 8 firms and has passed the Series 63, Series 7, Series 4 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
March 6, 2003 - April 25, 2014
MERRIMAC CORPORATE SECURITIES, INC.
June 12, 2000 - September 10, 2000
ELECTRONIC ACCESS DIRECT, INC.
June 9, 1998 - November 5, 2004
ALLEN DOUGLAS SECURITIES, INC.
April 19, 1996 - October 31, 1997
TRIAD ADVISORS LLC
October 19, 1994 - August 14, 1995
BMA FINANCIAL SERVICES, INC.
August 28, 1993 - February 10, 1994
STEIN, SHORE SECURITIES, INC.
February 19, 1993 - May 10, 1993
TRUIST INVESTMENT SERVICES, INC.
April 20, 1992 - December 18, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MERRIMAC CORPORATE SECURITIES, INC.
CRD#: 35463 / SEC#: , 8-46721
Contact information
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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