Jeremy P. Mathis
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.
Jeremy P Mathis was a registered financial professional .
Jeremy is a previously registered financial professional and started their career in finance in 2009. Jeremy had worked at 6 firms and has passed the Series 63, SIE 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
June 10, 2015 - July 13, 2015
HEADWATERS BD, LLC
March 28, 2014 - October 15, 2014
TRUIST SECURITIES, INC.
April 1, 2011 - February 26, 2013
BARCLAYS CAPITAL INC.
April 23, 2010 - October 12, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 9, 2009 - March 16, 2010
OPPENHEIMER & CO. INC.
June 18, 2009 - June 23, 2009
RAYMOND JAMES & ASSOCIATES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
HEADWATERS BD, LLC
CRD#: 117042 / SEC#: , 8-53582
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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