Matthew N. Daeges
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 Nicholas Daeges, who also goes by Matt Daeges, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2006. Matthew had worked at 6 firms and has passed the Series 66, Series 99TO 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
February 23, 2022 - May 18, 2023
TD AMERITRADE, INC.
February 23, 2022 - May 24, 2023
CHARLES SCHWAB & CO., INC.
March 27, 2008 - October 24, 2011
FIRST NATIONAL CAPITAL MARKETS
September 13, 2007 - March 4, 2008
SECURITIES AMERICA ADVISORS, INC.
September 13, 2007 - March 4, 2008
SECURITIES AMERICA, INC.
January 5, 2007 - July 20, 2007
SECURIAN FINANCIAL SERVICES, INC.
December 19, 2006 - July 20, 2007
SECURIAN FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
