Matthew A. Waxelbaum
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 Alan Waxelbaum, who also goes by Matt Wax, Matthew Waxelbaum, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2003. Matthew had worked at 9 firms and has passed the Series 66, Series 55 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
November 18, 2010 - December 31, 2012
NEW RIVER ASSET MANAGEMENT, LLC
October 10, 2008 - March 24, 2009
RODMAN & RENSHAW, LLC
May 22, 2008 - October 3, 2008
H.C.WAINWRIGHT & CO., LLC
October 25, 2006 - May 21, 2008
LEGEND MERCHANT GROUP, INC.
May 18, 2006 - September 28, 2006
VFINANCE INVESTMENTS, INC
October 19, 2005 - May 11, 2006
NFSG CORPORATION
October 19, 2005 - May 11, 2006
NEWBRIDGE SECURITIES CORPORATION
July 14, 2004 - August 11, 2004
TRADESTATION SECURITIES, INC.
August 28, 2003 - June 15, 2004
MORGAN STANLEY DW INC.
August 12, 2003 - June 15, 2004
MORGAN STANLEY DW 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
Series 55
Date: 4/9/2008
Limited Representative-Equity Trader ExamCurrent Firm
NEW RIVER ASSET MANAGEMENT, LLC
CRD#: 154062 / SEC#:
Contact information
Red Flags
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