Matthew W. Craffey
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 Craffey was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2002. Matthew had worked at 9 firms and has passed the Series 65, Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2013 - December 12, 2013
KESTRA INVESTMENT SERVICES, LLC
May 6, 2013 - December 12, 2013
KESTRA INVESTMENT SERVICES, LLC
November 8, 2011 - December 31, 2012
AMERITAS INVESTMENT COMPANY, LLC
August 13, 2008 - December 31, 2012
AMERITAS INVESTMENT COMPANY, LLC
November 13, 2007 - June 20, 2008
RUSHMORE CAPITAL, INC.
September 4, 2007 - November 12, 2007
HEDGE FUND CAPITAL PARTNERS, LLC
August 10, 2007 - August 14, 2007
CANACCORD GENUITY SECURITIES LLC
March 30, 2005 - August 10, 2007
COLLINS STEWART INC.
February 9, 2005 - April 19, 2005
TULLETT PREBON FINANCIAL SERVICES LLC
February 28, 2003 - November 2, 2004
EVOLUTION FINANCIAL TECHNOLOGIES, LLC
September 9, 2002 - March 27, 2003
HEARTLAND SECURITIES CORP.
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
Series 55
Date: 9/23/2002
Limited Representative-Equity Trader ExamCurrent Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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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