Matthew M. Van Schaik
Professional summary
Matthew Michael Van Schaik was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Matthew is a previously registered financial advisor and started their career in finance in 2002. Prior to being barred, Matthew had worked at 3 firms, which includes CADARET GRANT & CO. INC., PRUCO SECURITIES LLC., BANC ONE SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2008 - March 11, 2013
CADARET, GRANT & CO., INC.
May 23, 2008 - March 11, 2013
CADARET, GRANT & CO., INC.
October 26, 2004 - June 19, 2008
PRUCO SECURITIES, LLC.
September 23, 2004 - June 19, 2008
PRUCO SECURITIES, LLC.
June 26, 2002 - September 1, 2004
BANC ONE SECURITIES CORPORATION
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
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
Red Flags
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