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MC

Matthew E. Coleman

DC ADVISORY
NEW YORK, NY 10158
Some features on this profile are disabled
CRD#: 5976564
MC

Professional summary

Matthew Edward Coleman, who also goes by Matthew Coleman, is a registered financial professional currently at DC ADVISORY located in New York, New York.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2018. Matthew has worked at 5 firms and has passed the Series 63, Series 79TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Matthew Coleman

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 Edward Coleman'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

October 7, 2024 - Present

DC ADVISORY

Office #1: 605 Third Avenue 11th Floor, New York, NY 10158
BD
CRD#: 129919
NEW YORK, NY
Past

May 19, 2023 - September 4, 2024

TRUIST SECURITIES, INC.

BD
CRD#: 6271
NEW YORK, NY
Past

February 9, 2021 - May 9, 2023

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
New York, NY
Past

March 5, 2019 - October 21, 2019

BCW SECURITIES LLC

BD
CRD#: 144930
WESTPORT, CT
Past

November 2, 2018 - March 5, 2019

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY

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
New York
(10/7/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/19/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/2/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/27/2018
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

DA
DC ADVISORY
DAIWA CORPORATE ADVISORY LLC | SAGENT ADVISORS, LLC | SAGENT ADVISORS, INC. | SAGENT ADVISORS INC. | DCS ADVISORY LLC | DC ADVISORY US | DC ADVISORY

CRD#: 129919 / SEC#: , 8-66273

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

Main Address
605 Third Avenue 11th Floor, New York, NY 10158
Mailing Address
605 Third Avenue 11th Floor, New York, NY 10158
Phone number
(212) 904-9400
Established
Delaware since 04/01/2012
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DAIWA CORPORATE ADVISORY HOLDINGS INC.SHAREHOLDER
BAYER, JONATHAN LEWISGENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER5050555
DONOHUE, JOSEPH THOMASVICE CHAIRMAN1630441
EDMONDSON, ERIC WINSTONVICE CHAIRMAN1441360
KOHR, WILLIAM EDWARDCHIEF EXECUTIVE OFFICER1563851
PACITTO, PETER JOSEPHCHIEF ADMINISTRATIVE OFFICER, CFO, FINOP1700696

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

DC ADVISORY

CRD#: 129919New York, NY 10158

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