Matthew W. Barrett
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.
Matthew William Barrett, who also goes by Matt Barrett, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1999. Matthew had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2016 - October 25, 2016
ROTHSCHILD LIEBERMAN LLC
October 3, 2014 - April 28, 2015
NEWPORT COAST SECURITIES, INC.
April 4, 2013 - October 2, 2014
BRAVER STERN SECURITIES LLC
July 25, 2011 - January 24, 2013
SEVEN POINTS CAPITAL, LLC
November 2, 2009 - July 20, 2011
AVIAN SECURITIES, LLC
July 25, 2005 - November 3, 2009
BTIG, LLC
June 12, 2003 - March 4, 2005
RAYMOND JAMES & ASSOCIATES, INC.
January 18, 2001 - July 2, 2003
ADVEST, INC.
October 18, 1999 - August 2, 2000
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
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Exams
Current Firm
ROTHSCHILD LIEBERMAN LLC
CRD#: 10030 / SEC#: , 8-26080
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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