Matthew Barley
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 Barley, who also goes by Matthew Anthony Barley, Matthew Barley, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2011. Matthew had worked at 10 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 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
October 27, 2023 - March 16, 2026
FORESIDE FINANCIAL SERVICES, LLC
October 28, 2022 - October 27, 2023
FORESIDE FUND SERVICES, LLC
December 4, 2017 - July 3, 2019
SECURITIES AMERICA ADVISORS, INC.
December 4, 2017 - July 3, 2019
SECURITIES AMERICA, INC.
March 21, 2016 - November 8, 2017
SII INVESTMENTS, INC.
March 21, 2016 - November 8, 2017
NATIONAL PLANNING CORPORATION
March 21, 2016 - November 8, 2017
INVESTMENT CENTERS OF AMERICA, INC.
March 21, 2016 - November 8, 2017
INVEST FINANCIAL CORPORATION
February 17, 2016 - November 8, 2017
NATIONAL PLANNING CORPORATION
February 17, 2016 - November 8, 2017
INVEST FINANCIAL CORPORATION
February 16, 2016 - November 8, 2017
SII INVESTMENTS, INC.
July 23, 2014 - November 8, 2017
INVESTMENT CENTERS OF AMERICA, INC.
February 23, 2012 - July 11, 2014
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
December 22, 2011 - February 7, 2012
KEY INVESTMENT SERVICES 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
Series 7TO
Date: 10/28/2022
General Securities Representative ExaminationCurrent Firm
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
