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MI

Matthew P. Improta

MARRIOTT SECURITIES
Richmond, VA 23219
Some features on this profile are disabled
CRD#: 5808769
MI

Professional summary

Matthew Phillip Improta, who also goes by Matthew P Improta, is a registered financial professional currently at MARRIOTT SECURITIES, LLC located in Richmond, Virginia.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2011. Matthew has worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Matthew P Improta

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 Phillip Improta'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

September 28, 2011 - Present

MARRIOTT SECURITIES, LLC

Office #1: Three James Center 1051 East Cary Street Suite 1125, Richmond, VA, 23219
BD
CRD#: 149323
Richmond, VA

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
Virginia
(1/6/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 12/30/2011
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 79
Date: 9/27/2011
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MARRIOTT SECURITIES, LLC
MARRIOTT SECURITIES, LLC | SMBD, LLC

CRD#: 149323 / SEC#: , 8-68140

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

Main Address
Three James Center 1051 East Cary Street Suite 1125, Richmond, VA, 23219
Mailing Address
Three James Center 1051 East Cary Street Suite 1125, Richmond, VA, 23219
Phone number
(804) 344-0952
Established
Virginia since 02/15/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MARRIOTT MANAGEMENT LLCMEMBER
MARRIOTT, JUSTIN DAVIDMANAGING DIRECTOR, CCO2787225
WAGSTAFF, CONNER FRED IIICFO, FINOP1427591

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

MARRIOTT SECURITIES, LLC

CRD#: 149323Richmond, VA 23219

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