Matthew C. Pluta
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 Clayton Pluta, who also goes by Pluta Clayton Matthew, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2016. Matthew had worked at 5 firms and has passed the Series 66, 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
July 13, 2020 - October 27, 2020
BROOKFIELD PRIVATE ADVISORS LLC
August 15, 2017 - March 31, 2020
BLACKROCK INVESTMENT MANAGEMENT, LLC
August 14, 2017 - March 31, 2020
BLACKROCK INVESTMENTS, LLC
September 1, 2016 - June 15, 2017
LORD, ABBETT & CO. LLC
March 7, 2016 - June 15, 2017
LORD ABBETT DISTRIBUTOR LLC
State Registrations and Notice Filings
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Exams
Current Firm
BROOKFIELD PRIVATE ADVISORS LLC
CRD#: 151423 / SEC#: , 8-68370
Contact information
FINRA licenses (51 States and Territories)
Documents
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.
