Richard B. Matty
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.
Richard Bruce Matty was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 16 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, PC, 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 24, 2013 - October 3, 2025
AMERICAN CAPITAL PARTNERS, LLC
January 4, 2002 - November 19, 2002
LADENBURG CAPITAL MANAGEMENT INC.
February 12, 2001 - June 15, 2012
LADENBURG THALMANN & CO. INC.
August 4, 1999 - October 16, 2000
KIRLIN SECURITIES INC.
July 28, 1999 - August 12, 1999
GENEVA CAPITAL CORP.
April 1, 1999 - July 13, 1999
MATRIX U.S.A., LLC
April 14, 1998 - July 14, 1998
DONALD & CO. SECURITIES INC.
July 11, 1997 - February 5, 1998
D.H. BLAIR INVESTMENT BANKING CORP.
January 30, 1997 - July 9, 1997
STUART, COLEMAN & CO., INC.
February 27, 1995 - December 19, 1996
JOSEPHTHAL & CO., INC.
September 2, 1993 - February 22, 1995
AUGMENT SECURITIES INC.
November 30, 1990 - September 15, 1993
LADENBURG THALMANN & CO. INC.
May 15, 1990 - October 26, 1990
BAIRD, PATRICK & CO., INC.
October 20, 1987 - April 16, 1990
MABON, NUGENT & CO.
February 23, 1984 - October 3, 1987
SWERGOLD, CHEFITZ & INCORPORATED
August 10, 1973 - February 17, 1984
JSC SECURITIES, INC.
December 24, 1970 - August 3, 1973
WHITE, WELD & 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationPC
Date: 8/16/1977
AMEX Put and Call ExamSeries 1
Date: 12/21/1970
Registered Representative ExaminationCurrent Firm
AMERICAN CAPITAL PARTNERS, LLC
CRD#: 119249 / SEC#: , 8-65165
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
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