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MC

Matthew C. Caufield

H.C.WAINWRIGHT & CO.
New York, NY 10022
Some features on this profile are disabled
CRD#: 5670238
MC

Professional summary

Matthew Coleman Caufield is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2009. Matthew has worked at 7 firms and has passed the Series 66, SIE, Series 86, Series 87 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Coleman Caufield's CRS (Customer Relationship Summary).
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

July 3, 2018 - Present

H.C.WAINWRIGHT & CO., LLC

Office #1: 430 Park Avenue 4th Floor, New York, NY 10022Office #2: 430 Park Avenue 4th Floor, New York, NY 10022
BD
CRD#: 375
New York, NY
Past

February 6, 2018 - March 19, 2018

PIPER SANDLER & CO.

RIA
CRD#: 665
NEW YORK, NY
Past

August 23, 2017 - December 20, 2017

PIPER SANDLER & CO.

RIA
CRD#: 665
NEW YORK, NY
Past

August 23, 2017 - March 19, 2018

PIPER SANDLER & CO.

BD
CRD#: 665
NEW YORK, NY
Past

February 25, 2016 - August 23, 2017

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
NEW YORK, NY
Past

January 12, 2016 - August 23, 2017

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NEW YORK, NY
Past

October 1, 2012 - July 16, 2013

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
CHICAGO, IL
Past

October 1, 2012 - July 16, 2013

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CHICAGO, IL
Past

September 27, 2011 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
CHICAGO, IL
Past

September 27, 2011 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

August 13, 2009 - December 31, 2009

SECURIAN FINANCIAL SERVICES, INC.

RIA
CRD#: 15296
MINNEAPOLIS, MN
Past

August 13, 2009 - December 31, 2009

CRI SECURITIES, LLC

RIA
CRD#: 22589
CHICAGO, IL
Past

June 4, 2009 - December 31, 2009

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
MINNEAPOLIS, MN
Past

June 4, 2009 - December 31, 2009

CRI SECURITIES, LLC

BD
CRD#: 22589
CHICAGO, IL

State Registrations and Notice Filings

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

RR
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

RR
New York
(7/3/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/24/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 2/15/2018
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 10/30/2017
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 1/12/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

H.C.WAINWRIGHT & CO., LLC
H.C.WAINWRIGHT & CO., LLC
H. C. WAINWRIGHT & CO. | WAINWRIGHT H C & CO INC | RODMAN & RENSHAW | H.C.WAINWRIGHT & CO., LLC | H.C. WAINWRIGHT & CO., INC. | H.C WAINWRIGHT & CO., LLC

CRD#: 375 / SEC#: , 8-43115

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
430 Park Avenue 4th Floor, New York, NY 10022
Mailing Address
430 Park Avenue 4th Floor, New York, NY 10022
Phone number
(212) 356-0500
Established
Delaware since 04/10/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HCWHC INCSHAREHOLDER
KAPLAN, MARK ELIOTCEO2618079
KIRSCH, KENNETH JOHNCFO1671480
KIRSCH, KENNETH JOHNFINOP1671480
SILVERA, EDWARD DAVIDCHIEF OPERATIONS OFFICER6216348
YANOW, JONATHAN TODDCHIEF COMPLIANCE OFFICER6516303

Disclosures

Regulatory Event16

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.

Company Information

H.C.WAINWRIGHT & CO., LLC

H.C.WAINWRIGHT & CO., LLC

CRD#: 375New York, NY 10022

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