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MD

Matthew C. Dowell

CARL MARKS SECURITIES LLC
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 6965552
MD

Professional summary

Matthew Carl Dowell is a registered financial professional currently at CARL MARKS SECURITIES LLC located in New York, New York.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2019. Matthew has worked at 2 firms and has passed the Series 63, Series 79TO and SIE 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 Carl Dowell'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

April 21, 2023 - Present

CARL MARKS SECURITIES LLC

Office #1: 900 Third Avenue 10th Floor Suite 1003, New York, NY, 10022
BD
CRD#: 144209
NEW YORK, NY
Past

September 9, 2019 - March 9, 2023

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(4/21/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 9/12/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 9/9/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/11/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CM
CARL MARKS SECURITIES LLC
CARL MARKS SECURITIES LLC | CARL MARKS SECURITIES, LLC

CRD#: 144209 / SEC#: , 8-67642

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
900 Third Avenue 10th Floor Suite 1003, New York, NY, 10022
Mailing Address
900 Third Avenue 10th Floor Suite 1003, New York, NY, 10022
Phone number
(212) 909-8400
Established
New York since 05/25/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 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#
CARL MARKS ADVISORY GROUP LLCMEMBER
CLASTER, MARK LEEPRESIDENT721112
ROBERTS, JON HAROLD JR.CHIEF COMPLIANCE OFFICER5229666
SPEER, ROBERT ALANCFO, FINOP4519468
TOMASKOVIC, EVAN MICHAELCEO3262911

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

CARL MARKS SECURITIES LLC

CRD#: 144209New York, NY 10022

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