Matthew D. O'keefe
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 Dennis O'keefe, who also goes by Matt Dennis O'keefe, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2008. Matthew had worked at 4 firms and has passed the Series 63, Series 86, Series 87 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 22, 2012 - April 11, 2013
RESEARCH CAPITAL USA INC.
August 10, 2009 - March 31, 2011
CORMARK SECURITIES (USA) LIMITED
June 30, 2008 - March 5, 2009
THOMAS WEISEL PARTNERS LLC
March 4, 2008 - June 25, 2008
THOMAS WEISEL PARTNERS (USA) 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
RESEARCH CAPITAL USA INC.
CRD#: 39670 / SEC#: , 8-48795
Contact information
FINRA licenses (22 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
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.
