Matthew Thomas
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 Thomas, who also goes by Mathew Thomas, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2000. Matthew had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7 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
October 20, 2014 - October 21, 2019
PENSERRA SECURITIES, LLC
July 17, 2003 - October 23, 2014
IVY SECURITIES, INC.
March 3, 2003 - May 12, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
January 10, 2003 - March 3, 2003
RUMSON CAPITAL, LLC
April 26, 2000 - July 2, 2002
DEUTSCHE IXE, LLC
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 55
Date: 5/22/2000
Limited Representative-Equity Trader ExamCurrent Firm
PENSERRA SECURITIES, LLC
CRD#: 145994 / SEC#: , 8-67773
Contact information
FINRA licenses (17 States and Territories)
Documents
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.
