Matthew J. Cawley
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 Joseph Cawley, who also goes by Matt Cawley, Matthew Cawley, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2011. Matthew had worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2024 - August 11, 2025
LINCOLN PARK CAPITAL LLC
October 26, 2022 - September 16, 2024
EIDE BAILLY ADVISORS, LLC
October 26, 2022 - August 11, 2023
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
September 29, 2021 - April 5, 2022
FORESIDE FUND SERVICES, LLC
March 10, 2020 - April 27, 2022
BUILD ASSET MANAGEMENT
April 27, 2017 - January 27, 2020
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
April 27, 2017 - January 27, 2020
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
October 6, 2016 - April 21, 2017
361 CAPITAL LLC
August 4, 2016 - April 7, 2017
IMST DISTRIBUTORS, LLC
May 1, 2015 - July 23, 2016
EMPOWER FINANCIAL SERVICES, INC.
May 22, 2013 - March 27, 2015
CURIAN CAPITAL, LLC
November 6, 2012 - March 27, 2015
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
October 1, 2012 - November 20, 2012
J.P. MORGAN SECURITIES LLC
December 14, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 25, 2011 - November 21, 2011
MUTUAL OF OMAHA INVESTOR 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: 12/10/2021
General Securities Representative ExaminationCurrent Firm
LINCOLN PARK CAPITAL LLC
CRD#: 330031 / SEC#: 801-129961
Contact information
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 143 |
| AUM (Assets Under Management) | $ 22,050,340 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
