Matthew A. Short
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 Austin Short was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2009. Matthew had worked at 5 firms and has passed the Series 66, SIE, 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
August 26, 2016 - March 6, 2020
TD AMERITRADE, INC.
August 26, 2016 - March 6, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 26, 2016 - March 6, 2020
TD AMERITRADE, INC.
November 25, 2014 - March 14, 2016
INDEPENDENT FINANCIAL GROUP, LLC
November 19, 2014 - March 14, 2016
INDEPENDENT FINANCIAL GROUP, LLC
January 7, 2011 - December 22, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
January 7, 2011 - December 22, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
October 26, 2009 - May 15, 2014
LPL FINANCIAL LLC
April 17, 2009 - May 15, 2014
LPL FINANCIAL LLC
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
