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Roland W. Gibbs

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CRD#: 4256165
RG

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.

Roland W Gibbs, who also goes by Chip Gibbs, was a registered financial professional .

Roland is a previously registered financial professional and started their career in finance in 2001. Roland had worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chip Gibbs

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

November 12, 2018 - December 2, 2024

MATTHEWS SOUTH, LLC

BD
CRD#: 283409
SAN MATEO, CA
Past

July 18, 2017 - March 21, 2018

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
SAN FRANCISCO, CA
Past

March 5, 2009 - March 30, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SAN FRANCISCO, CA
Past

August 31, 2001 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, 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: 10/11/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/21/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/13/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/13/2015
General Securities Principal Examination

Current Firm

MS
MATTHEWS SOUTH, LLC
MATTHEWS SOUTH, LLC

CRD#: 283409 / SEC#: , 8-69751

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
PREMIUM
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Contact information

Main Address
1700 South El Camino Real, Suite 345, San Mateo, CA 94402
Mailing Address
1700 South El Camino Real, Suite 345, San Mateo, CA 94402
Phone number
(415) 619-5350
Established
Delaware since 02/18/2016
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MATTHEWS SOUTH, INC.DIRECT OWNER
CASTELLANO, KEVIN JAMESCFO5348442
CULAS, VIJAY BASILCEO/MANAGING MEMBER2643904
HAYES, SUSAN ANNFINOP2856326
SEECHARAN, BEESHAM ACCO5221163

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.

Company Information

MATTHEWS SOUTH, LLC

CRD#: 283409

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