Matthew J. Abold
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 J Abold, who also goes by Matt Abold, Matthew J Abold, Matthew James Abold, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2008. Matthew had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2023 - August 1, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
April 5, 2023 - August 1, 2025
SORRENTO PACIFIC FINANCIAL, LLC
April 5, 2023 - August 1, 2025
SCF SECURITIES, INC.
April 5, 2023 - August 1, 2025
NEXT FINANCIAL GROUP, INC.
April 5, 2023 - August 1, 2025
CUSO FINANCIAL SERVICES, L.P.
June 19, 2019 - August 1, 2025
CADARET, GRANT & CO., INC.
June 18, 2019 - August 1, 2025
CADARET, GRANT & CO., INC.
June 2, 2015 - June 18, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 2, 2014 - June 18, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 26, 2008 - November 11, 2014
FORESTERS FINANCIAL SERVICES, 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
Series 7TO
Date: 2/28/2020
General Securities Representative ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
