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ML

Matthew W. Large

ANCHOR BAY SECURITIES
Carlsbad, CA 92008
Some features on this profile are disabled
CRD#: 6251338
ML

Professional summary

Matthew William Large is a registered financial professional currently at ANCHOR BAY SECURITIES, LLC located in Carlsbad, California.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2013. Matthew has worked at 1 firm and has passed the SIE, Series 6, Series 28, Series 51 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 William Large's CRS (Customer Relationship Summary).
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 10, 2013 - Present

ANCHOR BAY SECURITIES, LLC

Office #1: 5780 Fleet Street Suite 308, Carlsbad, CA 92008
BD
CRD#: 47360
Carlsbad, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/10/2013
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 6/27/2019
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 51
Date: 1/31/2014
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 11/8/2013
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AB
ANCHOR BAY SECURITIES, LLC
ANCHOR BAY SECURITIES, LLC | NOR'WEST SECURITIES, LLC

CRD#: 47360 / SEC#: , 8-51763

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
5780 Fleet Street Suite 308, Carlsbad, CA 92008
Mailing Address
5780 Fleet Street Suite 308, Carlsbad, CA 92008
Phone number
(760) 602-3470
Established
California since 03/01/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ANCHOR BAY CAPITAL, INC.OWNER116913
ALLEN, JAMES ROBERTPRESIDENT1882869
LARGE, MATTHEW WILLIAMFINOP6251338
LARGE, MATTHEW WILLIAMCHIEF COMPLIANCE OFFICER6251338
LARGE, MATTHEW WILLIAMCHIEF FINANCIAL OPERATIONS OFFICER6251338

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

ANCHOR BAY SECURITIES, LLC

CRD#: 47360Carlsbad, CA 92008

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