Matthew W. Curtis
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 W. Curtis was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2000. Matthew had worked at 3 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2012 - March 23, 2015
RGL ADVISORS, LLC
December 2, 2002 - August 30, 2004
KENNY SECURITIES CORP.
July 12, 2000 - July 30, 2002
FIDELITY DISTRIBUTORS COMPANY LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RGL ADVISORS, LLC
CRD#: 160176 / SEC#: , 8-69030
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RGL, INC. | OWNER | |
| MORRIS, MATTHEW ROSS | PRINCIPAL, EX. REP, PRESIDENT, CCO | |
| STERLING, DONALD WILLIAM | FINOP | 1192425 |
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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