Matthew Mongeau
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 Mongeau, who also goes by Matthew David Mongeau, Matt David Mongeau, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2017. Matthew had worked at 6 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
June 30, 2022 - June 26, 2025
BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
February 10, 2021 - November 9, 2021
FORESIDE FUND SERVICES, LLC
October 2, 2018 - November 13, 2020
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
September 28, 2018 - November 13, 2020
AMUNDI DISTRIBUTOR US, INC.
December 8, 2017 - May 7, 2018
MCADAM LLC
October 30, 2017 - November 30, 2017
PURSHE KAPLAN STERLING INVESTMENTS
State Registrations and Notice Filings
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Exams
Current Firm
BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
CRD#: 313390 / SEC#: , 8-70722
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Red Flags
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