Matthew T. Stratman
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 Thomas Stratman, who also goes by Matthew T. Stratman, Matthew Stratman, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2010. Matthew had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2017 - December 31, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
September 27, 2017 - December 31, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
May 19, 2016 - September 13, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 19, 2016 - September 13, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 10, 2015 - March 2, 2016
COREBRIDGE CAPITAL SERVICES, INC.
March 23, 2012 - February 23, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 22, 2012 - February 23, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 11, 2011 - November 11, 2011
EQUITABLE ADVISORS, LLC
November 23, 2010 - November 11, 2011
EQUITABLE ADVISORS, LLC
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
Current 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.
