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WM

Warren H. Matthews

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CRD#: 323187
WM

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.

Warren Henry Matthews was a registered financial professional .

Warren is a previously registered financial professional and started their career in finance in 1970. Warren had worked at 11 firms and has passed the Series 63, Series 6, Series 22, Series 1 and Series 00 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 18, 2000 - November 22, 2000

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
JERSEY CITY, NJ
Past

September 16, 1998 - March 5, 1999

W&S BROKERAGE SERVICES, INC.

BD
CRD#: 8099
CINCINNATI, OH
Past

March 26, 1991 - April 10, 1995

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
HOUSTON, TX
Past

March 29, 1990 - January 9, 1991

DELAWARE DISTRIBUTORS, L.P.

BD
CRD#: 14232
PHILADELPHIA, PA
Past

August 5, 1988 - January 24, 1989

GT GLOBAL, INC.

BD
CRD#: 19587
Past

May 30, 1986 - May 7, 1988

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
Past

January 3, 1983 - May 17, 1985

NRM CORPORATION

BD
CRD#: 8501
Past

December 7, 1982 - December 16, 1982

FIRST SECURITIES CORPORATION OF THE SOUTHWEST

BD
CRD#: 10511
Past

July 3, 1972 - June 9, 1973

WEIS SECURITIES, INC.

BD
CRD#: 880
Past

October 8, 1970 - September 29, 1972

D.F. COLLINS TRUCKING CO

BD
CRD#: 1000005
Past

June 1, 1970 - June 24, 1973

W. E. HUTTON & CO.

BD
CRD#: 861

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/14/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 9/14/1998
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 1/14/1983
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 5/1/1961
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 00
Date: 8/11/1971
General Securities Principal Examination

Current Firm

CC
COREBRIDGE CAPITAL SERVICES, INC.
AIG CAPITAL SERVICES, INC. | SUNAMERICA CAPITAL SERVICES, INC. | INTEGRATED RESOURCES CAPITAL SERVICES, INC. | INTEGRATED CAPITAL SERVICES, INC. | COREBRIDGE CAPITAL SERVICES, INC. | AIG SUNAMERICA CAPITAL SERVICES, INC.

CRD#: 13158 / SEC#: , 8-28733

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
30 Hudson Street 16th Floor, Jersey City, NJ 07302
Mailing Address
30 Hudson Street 16th Floor, Jersey City, NJ 07302
Phone number
(201) 324-6300
Established
Delaware since 11/05/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SUNAMERICA ASSET MANAGEMENT, LLC.SHAREHOLDER
BURNETTE, CYNTHIA LEACHIEF FINANCIAL OFFICER1863103
FORTEY, MICHAELCHIEF COMPLIANCE OFFICER2304969
NASTA, CHRISTINA MARIEPRESIDENT2736888

Disclosures

Regulatory Event1

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.

Company Information

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

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