Matthew T. Rawlings
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 Thomas Rawlings was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2004. Matthew had worked at 6 firms and has passed the Series 63, SIE, Series 3 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
December 6, 2012 - January 8, 2015
ALT FUND DISTRIBUTORS LLC
June 29, 2011 - January 8, 2015
FDX CAPITAL LLC
May 3, 2008 - July 14, 2008
HUDSON SECURITIES,INC.
November 21, 2007 - May 2, 2008
TOUCHPOINT SECURITIES CORP.
August 3, 2005 - April 16, 2007
JESUP & LAMONT SECURITIES CORP
March 15, 2004 - August 30, 2005
HCFP BRENNER SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALT FUND DISTRIBUTORS LLC
CRD#: 146547 / SEC#: , 8-67829
Contact information
FINRA licenses (51 States and Territories)
Documents
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.
