Matthew Hall
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 Hall, CFA, who also goes by Matthew Zaffram Hall, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2004. Matthew had worked at 7 firms and has passed the Series 63, SIE, 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
December 5, 2017 - September 30, 2019
NORTH SOUTH CAPITAL, LLC
October 5, 2017 - December 19, 2017
MAXIM GROUP LLC
July 28, 2015 - October 2, 2017
WILMINGTON CAPITAL SECURITIES, LLC
May 22, 2015 - July 28, 2015
FOREFRONT CAPITAL MARKETS LLC
August 27, 2012 - December 8, 2014
B. RILEY WEALTH MANAGEMENT
May 19, 2006 - August 13, 2012
SAMCO CAPITAL MARKETS, INC.
August 6, 2004 - May 19, 2006
PENSON FINANCIAL SERVICES, 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: 2/28/2006
Limited Representative-Equity Trader ExamCurrent Firm
NORTH SOUTH CAPITAL, LLC
CRD#: 148158 / SEC#: , 8-67979
Contact information
FINRA licenses (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 133 |
| AUM (Assets Under Management) | $ 31,146,272 |
Disclosures
| Regulatory Event | 1 |
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.
