Dean S. Matthews
Professional summary
Dean Sean Matthews was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dean Sean Matthews was a registered financial advisor .
Dean is a previously registered financial advisor and started their career in finance in 2001. Dean had worked at 2 firms and has passed the Series 66, Series 31 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
April 15, 2005 - March 10, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 8, 2005 - March 10, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 2, 2002 - April 22, 2005
RAYMOND JAMES & ASSOCIATES, INC.
November 27, 2001 - April 22, 2005
RAYMOND JAMES & ASSOCIATES, INC.
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
Current Firm
BANC OF AMERICA INVESTMENT SERVICES, INC.
CRD#: 16361 / SEC#: , 8-33805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERRILL LYNCH & CO., INC. | SHAREHOLDER | |
| BENSON, MARK JARRETT | PRESIDENT/CEO/DIRECTOR/CHAIRMAN | 1915552 |
| CALL, JOHN SCOTT | SVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE | 2815968 |
| NEWTH, RONALD JOSEPH | CHIEF OPERATING OFFICER/DIRECTOR | 1454390 |
| OSAKI, ISAAC | CHIEF LEGAL OFFICER | 4910551 |
| ROMANO, JOHN GARY | CFO/DIRECTOR | 5078610 |
Disclosures
| Regulatory Event | 53 |
| Civil Event | 1 |
| Arbitration | 68 |
Red Flags
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