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SM

Sheena Mathur

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CRD#: 6529271
SM

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.

Sheena Mathur was a registered financial professional .

Sheena is a previously registered financial professional and started their career in finance in 2015. Sheena had worked at 3 firms and has passed the Series 63, SIE and Series 79 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 20, 2018 - November 15, 2023

MARWOOD GROUP

BD
CRD#: 117015
NEW YORK, NY
Past

October 13, 2017 - March 6, 2018

CAIN BROTHERS & COMPANY, LLC

BD
CRD#: 13649
NEW YORK, NY
Past

September 14, 2015 - May 4, 2018

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
New York, NY

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

State Security Law Exam
RR
Series 63
Date: 12/16/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/4/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/14/2015
Investment Banking Registered Representative Examination

Current Firm

MG
MARWOOD GROUP
MARWOOD GROUP | MARWOOD GROUP LLC | MARWOOD GROUP ASSET MANAGEMENT LLC

CRD#: 117015 / SEC#: , 8-53573

Connecticut
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)
District of Columbia
Registered Investment Advisory firm - SEC (5/14/2004 Approved)
Illinois
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)
Massachusetts
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)
New York
Registered Investment Advisory firm - SEC (12/2/2003 Approved)
Oregon
Registered Investment Advisory firm - SEC (12/31/2023 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
733 Third Avenue 11th Floor, New York, NY 10017
Mailing Address
733 Third Avenue 11th Floor, New York, NY 10017
Phone number
(212) 532-3651
Established
New York since 06/06/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
9

FINRA licenses (4 States and Territories)

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

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
MARWOOD GROUP & CO USA LLCSHAREHOLDER
BEATON, DANIEL STEWARTFINOP4240769
MODZELEWSKI, THOMAS JUDECOO & CCO4570850
MOORE, JOHN THOMAS JRCEO1931756

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

MARWOOD GROUP

CRD#: 117015

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