Mathew D. Nesbitt
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.
Mathew David Nesbitt, who also goes by Mathew Nesbitt, was a registered financial professional .
Mathew is a previously registered financial professional and started their career in finance in 2016. Mathew had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2024 - July 21, 2026
STANCORP EQUITIES, INC.
October 25, 2016 - January 11, 2024
JOHN HANCOCK DISTRIBUTORS LLC
March 24, 2016 - October 13, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
March 23, 2016 - October 13, 2016
CAMBRIDGE INVESTMENT RESEARCH, 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
STANCORP EQUITIES, INC.
CRD#: 19517 / SEC#: , 8-37563
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANCORP FINANCIAL GROUP, INC. | OWNER OF STANCORP EQUITIES, INC. | |
| BURLIE, JASON MATTHEW | PRESIDENT | 4072452 |
| HUANG, JAMES PEI-YUEN | SECRETARY | 4020305 |
| LIM, CHARLES | CHIEF COMPLIANCE OFFICER | 5039063 |
| MARTIN, SHANNON MICHELLE | 2ND VICE PRESIDENT AND ASSISTANT CONTROLLER | 7616238 |
| PAGLIARULO, DAVID C | TREASURER, FINOP | 6883045 |
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.
