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MS

Matthew M. Sexton

Some features on this profile are disabled
CRD#: 3261031
MS

Professional summary

Matthew M Sexton was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Matthew is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Matthew had worked at 9 firms, which includes MARQUIS FINANCIAL SERVICES INC., J.P. TURNER & COMPANY L.L.C., GUNNALLEN FINANCIAL INC, S.W. BACH & COMPANY, HARRISON SECURITIES INC., MILESTONE GROUP MANAGEMENT LLC, CONTINENTAL BROKER-DEALER CORP., POST-LANE & CO. LLC, PROFESSIONAL CONCEPTS & PLANNING INC..

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

December 16, 2004 - May 6, 2005

MARQUIS FINANCIAL SERVICES, INC.

BD
CRD#: 20733
TARZANA, CA
Past

September 27, 2004 - December 7, 2004

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
ATLANTA, GA
Past

April 29, 2004 - September 17, 2004

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

April 27, 2004 - April 28, 2004

S.W. BACH & COMPANY

BD
CRD#: 43522
PORT WASHINGTON, NY
Past

August 18, 2003 - April 27, 2004

HARRISON SECURITIES, INC.

BD
CRD#: 14103
PORT WASHINGTON, NY
Past

August 13, 2002 - September 8, 2003

MILESTONE GROUP MANAGEMENT LLC

BD
CRD#: 44486
LAKE SUCCESS, NY
Past

November 2, 2000 - April 15, 2002

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY
Past

July 6, 2000 - July 10, 2000

POST-LANE & CO., LLC

BD
CRD#: 46043
NEW YORK, NY
Past

July 29, 1999 - October 14, 1999

PROFESSIONAL CONCEPTS & PLANNING, INC.

BD
CRD#: 15321
GARDEN CITY, NY

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: 8/25/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/28/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/7/2001
General Securities Principal Examination

Current Firm

MF
MARQUIS FINANCIAL SERVICES, INC.
BENCHMARK CAPITAL MANAGEMENT | THE NORTHWOODS TRADING COMPANY, INC. | STEVEN GREGORY SECURITIES | MARQUIS FINANCIAL SERVICES, INC. | MARQUIS FINANCIAL SERVICES OF INDIANA, INC. | MARQUIS FINANCIAL SERVICES OF INDIANA INC. | BENCHMARK CAPITAL MANAGEMENT, INCORPORATED

CRD#: 20733 / SEC#: , 8-38398

BD
Terminated by SEC on 08/18/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Wisconsin since 06/06/1985
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
OKUN, ART KINGSLEYPRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL2280918
OKUN, ART KINGSLEYCHIEF COMPLIANCE OFFICER2280918

Disclosures

Regulatory Event5
Arbitration3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

MARQUIS FINANCIAL SERVICES, INC.

CRD#: 20733

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