Matthew B. Bertoncini
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 Brendan Bertoncini, who also goes by Matthew B Bertoncini, Matthew Bertoncini, Matt Bertoncini, Matthew Brendan Bertoncini, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2013. Matthew had worked at 6 firms and has passed the Series 66, Series 63, 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 11, 2020 - September 6, 2022
PURSHE KAPLAN STERLING INVESTMENTS
May 13, 2020 - September 7, 2022
SUTTON WEALTH ADVISORS, INC.
April 18, 2019 - September 15, 2020
SECURITIES SERVICE NETWORK, LLC
January 11, 2018 - April 1, 2019
MORGAN STANLEY
January 11, 2018 - April 1, 2019
MORGAN STANLEY
April 7, 2017 - January 5, 2018
SCOTTRADE INVESTMENT MANAGEMENT
August 22, 2013 - January 5, 2018
SCOTTRADE, 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
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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