Matthew R. Rossiter
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 R Rossiter, who also goes by Matthew Robert Rossiter, Matthew Robert Rossiter, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2002. Matthew had worked at 3 firms and has passed the Series 66, 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
April 4, 2017 - April 17, 2017
CABANA ASSET MANAGEMENT
November 28, 2016 - December 6, 2016
CABANA ASSET MANAGEMENT
January 16, 2002 - December 8, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
January 1, 2002 - July 3, 2006
IDS LIFE INSURANCE COMPANY
January 1, 2002 - December 8, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CABANA ASSET MANAGEMENT
CRD#: 151418 / SEC#: 801-108439
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
CABANA ASSET MANAGEMENT
CRD#: 151418 / SEC#: 801-108439
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 425 |
| AUM (Assets Under Management) | $ 576,705,000 |
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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