James Matheu
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.
James Matheu was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2006. James had worked at 4 firms and has passed the Series 65, Series 66, Series 31 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 15, 2021 - February 20, 2025
VISTA MANAGEMENT COMPANY
February 12, 2009 - November 17, 2009
STRATEGIC WEALTH MANAGEMENT ADVISORS, INC.
April 2, 2007 - December 3, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - December 3, 2008
MORGAN STANLEY & CO. LLC
June 13, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
May 22, 2006 - April 2, 2007
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
Current Firm
VISTA MANAGEMENT COMPANY
CRD#: 29264 / SEC#: , 8-44198
Contact information
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.
