Matthew J. Sperrazza

PACER FINANCIAL

Malvern, PA 19355

Some features on this profile are disabled

CRD#: 5547270

Professional summary

Matthew John Sperrazza, who also goes by Mathew John Sperrazza, Matt Sperrazza, Matthew John Sperrazza, Matthew Sperrazza, is a registered financial professional currently at PACER FINANCIAL, INC. located in Malvern, Pennsylvania.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2008. Matthew has worked at 8 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mathew John Sperrazza | Matt Sperrazza | Matthew John Sperrazza | Matthew Sperrazza

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Matthew John Sperrazza's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 20, 2022 - Present

PACER FINANCIAL, INC.

Office #1: 500 Chesterfield Parkway, Malvern, PA 19355

CRD#: 137040

Malvern, PA

Past

May 17, 2018 - January 20, 2022

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, CO

Past

February 12, 2016 - November 3, 2017

SWAN GLOBAL INVESTMENTS, LLC

RIA

CRD#: 114669

ENGLEWOOD, CO

Past

January 5, 2016 - November 1, 2017

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

September 13, 2011 - September 2, 2015

NORTHSTAR SECURITIES, LLC

CRD#: 150409

GREENWOOD VILLAGE, CO

Past

April 15, 2010 - April 28, 2010

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

DENVER, CO

Past

November 5, 2009 - November 10, 2009

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

ALBANY, NY

Past

July 14, 2008 - September 3, 2009

EQUITABLE ADVISORS, LLC

CRD#: 6627

CLIFTON PARK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(1/20/2022)

Colorado
(1/20/2022)

Nevada
(1/20/2022)

New Mexico
(1/20/2022)

Pennsylvania
(1/20/2022)

Utah
(1/20/2022)

Wyoming
(1/20/2022)

Exams

State Security Law Exam

IAR

Series 65

Date: 2/12/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/22/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/11/2008

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PACER FINANCIAL, INC.

CRD#: 137040 / SEC#: , 8-67061

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

500 Chesterfield Parkway, Malvern, PA 19355

Mailing Address

500 Chesterfield Parkway, Malvern, PA 19355

Phone number

(610) 644-8100

Established

Pennsylvania since 03/23/2005

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
THOMSON, JOE MCKEE	PRESIDENT	718569
OHARA, SEAN EDWARD	DIRECTOR	1312483
BRADBARD, ASHLEE ANN THOMSON	SR. VICE PRESIDENT	5761850
THOMSON, JOANN MARIE	SECRETARY/TREASURER	5086499
ZELLER, KIMBERLY L. T.	VICE PRESIDENT	5774669
JOHNSON, JEFFREY SHAWN	CHIEF COMPLIANCE OFFICER	5508770
MILLER, JOHN STEVENSON	FINOP	2139980

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.

Similar Advisors

Paul Mullen

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Horsham, PA

Jeffrey Kropp

OSAIC WEALTH, INC.

IAR

Chadds Ford, PA

Dustin Willing

KESTRA ADVISORY SERVICES, LLC

IAR

Wayne, PA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Matthew J. Sperrazza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Matthew John Sperrazza's CRS (Customer Relationship Summary).

Certified licenses

Experience

JANUS HENDERSON DISTRIBUTORS US LLC

SWAN GLOBAL INVESTMENTS, LLC

NORTHERN LIGHTS DISTRIBUTORS, LLC

NORTHSTAR SECURITIES, LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

VOYA FINANCIAL ADVISORS, INC.

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/12/2016

Series 66

Date: 8/22/2008

SIE

Date: 10/1/2018

Series 7

Date: 7/11/2008

FINRA

Current Firm

PACER FINANCIAL, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PACER FINANCIAL, INC.

TRUST BUT VERIFY

Similar Advisors