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CM

Christopher B. Matthews

OPEN TO THE PUBLIC INVESTING
New York, NY 10013
Some features on this profile are disabled
CRD#: 5706420
CM

Professional summary

Christopher B Matthews, who also goes by Chris Brandon Matthews, Chris Matthews, Christopher Brandon Matthews, Christopher Matthews, is a registered financial professional currently at OPEN TO THE PUBLIC INVESTING, INC. located in New York, New York.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2009. Christopher has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Brandon Matthews | Chris Matthews | Christopher Brandon Matthews | Christopher Matthews

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 Christopher B Matthews'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

September 24, 2021 - Present

OPEN TO THE PUBLIC INVESTING, INC.

Office #1: 6 Harrison St 5th Floor, New York, NY 10013
BD
CRD#: 127818
New York, NY
Past

July 31, 2017 - September 7, 2021

FIRST CITIZENS INVESTOR SERVICES, INC.

BD
CRD#: 44430
RALEIGH, NC
Past

April 15, 2011 - October 11, 2016

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
GARNER, NC
Past

September 17, 2009 - April 12, 2011

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
FLORENCE, KY

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
Alabama
(9/24/2021)
RR
Alaska
(9/24/2021)
RR
Arizona
(9/24/2021)
RR
Arkansas
(9/24/2021)
RR
California
(9/24/2021)
RR
Colorado
(9/24/2021)
RR
Connecticut
(9/24/2021)
RR
Delaware
(9/24/2021)
RR
District of Columbia
(9/24/2021)
RR
Florida
(9/24/2021)
RR
Georgia
(9/24/2021)
RR
Hawaii
(9/24/2021)
RR
Idaho
(9/24/2021)
RR
Illinois
(9/24/2021)
RR
Indiana
(9/24/2021)
RR
Iowa
(9/24/2021)
RR
Kansas
(9/24/2021)
RR
Kentucky
(9/24/2021)
RR
Louisiana
(9/24/2021)
RR
Maine
(9/24/2021)
RR
Maryland
(9/24/2021)
RR
Massachusetts
(9/24/2021)
RR
Michigan
(9/24/2021)
RR
Minnesota
(9/24/2021)
RR
Mississippi
(9/24/2021)
RR
Missouri
(9/24/2021)
RR
Montana
(9/24/2021)
RR
Nebraska
(9/24/2021)
RR
Nevada
(9/24/2021)
RR
New Hampshire
(9/24/2021)
RR
New Jersey
(9/24/2021)
RR
New Mexico
(9/24/2021)
RR
New York
(9/24/2021)
RR
North Carolina
(9/27/2021)
RR
North Dakota
(9/24/2021)
RR
Ohio
(9/24/2021)
RR
Oklahoma
(9/24/2021)
RR
Oregon
(9/24/2021)
RR
Pennsylvania
(9/24/2021)
RR
Puerto Rico
(9/24/2021)
RR
Rhode Island
(9/24/2021)
RR
South Carolina
(9/24/2021)
RR
South Dakota
(9/24/2021)
RR
Tennessee
(6/2/2025)
RR
Texas
(9/24/2021)
RR
Utah
(9/24/2021)
RR
Vermont
(9/24/2021)
RR
Virgin Islands
(9/24/2021)
RR
Virginia
(9/24/2021)
RR
Washington
(9/24/2021)
RR
West Virginia
(9/24/2021)
RR
Wisconsin
(9/24/2021)
RR
Wyoming
(9/24/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 11/5/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/16/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/31/2018
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

OT
OPEN TO THE PUBLIC INVESTING, INC.
LIQUID PRIME SERVICES INC. | TACONIC CAPITAL GROUP INC. | T3 SECURITIES, INC. | PUBLIC INVESTING | PUBLIC | OPEN TO THE PUBLIC INVESTING, INC. | LIQUID PRIME SERVICES, INC.

CRD#: 127818 / SEC#: , 8-66049

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

Main Address
6 Harrison St 5th Floor/suite, New York, NY 10013
Mailing Address
228 Park Ave. S Suite 97716, New York, NY 10003
Phone number
(212) 401-6946
Established
New York since 05/16/2003
Firm type
Corporation
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#
PUBLIC HOLDINGS, INC.OWNER
SIKES, STEPHEN WILLIAMCHIEF EXECUTIVE OFFICER6912545
VERLINDE, EMILY ANNCHIEF COMPLIANCE OFFICER5686644
WANG, YIFEIFINOP7330450

Disclosures

Regulatory Event4

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

OPEN TO THE PUBLIC INVESTING, INC.

CRD#: 127818New York, NY 10013

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