Matthew C. Carl
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 C Carl, who also goes by Matthew Conner Carl, Matthew A Conner, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2011. Matthew had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2015 - September 2, 2016
WEALTHFRONT BROKERAGE LLC
September 19, 2013 - February 19, 2015
USAA FINANCIAL PLANNING SERVICES
January 11, 2013 - February 19, 2015
USAA FINANCIAL ADVISORS, INC.
June 7, 2011 - January 3, 2013
VANGUARD MARKETING CORPORATION
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
WEALTHFRONT BROKERAGE LLC
CRD#: 153407 / SEC#: , 8-68534
Contact information
FINRA licenses (53 States and Territories)
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.
