Matthew J. Donofrio
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 John Donofrio JR was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1968. Matthew had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2014 - July 17, 2015
SYNDICATED CAPITAL, INC.
December 12, 2008 - April 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 12, 2008 - April 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 2003 - December 15, 2008
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - December 15, 2008
WELLS FARGO CLEARING SERVICES, LLC
December 13, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
November 12, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 1, 1998 - December 6, 1999
COWEN AND COMPANY
February 26, 1985 - July 1, 1998
FINANCIAL SQUARE PARTNERS
July 31, 1984 - May 1, 1985
JSC SECURITIES, INC.
June 19, 1983 - June 23, 1986
AETNA LIFE INSURANCE AND ANNUITY COMPANY
May 9, 1968 - May 15, 1985
TOWER SQUARE SECURITIES, INC.
Primary Firm SEC Registration
SYNDICATED CAPITAL, INC.
CRD#: 29037 / SEC#: 801-129421, 8-44162
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
Series 1
Date: 4/26/1968
Registered Representative ExaminationCurrent Firm
SYNDICATED CAPITAL, INC.
CRD#: 29037 / SEC#: 801-129421, 8-44162
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SC ADD HOLDINGS, LLC | OWNER | |
| BAINES AND MCADAMS LIVING TRUST | OWNER | |
| BAINES, HEATHER UNA | TRUSTEE OF BAINES & MCADAMS LIVING TRUST | 2173889 |
| LEE, FAITH | PRESIDENT, CCO, ROP, MUNICIPAL SECURITIES PRINCIPAL, MANAGER OF SC ADD HOLDINGS, LLC | 2715226 |
| MCADAMS, JOSEPH LLOYD JR | SROP, CROP, MUNICIPAL SECURITIES PRINCIPAL/TRUSTEE OF BAINES AND MCADAMS LIVING TRUST | 2173886 |
| THORNTON, STEVEN LEE | FINANCIAL AND OPERATIONS PRINCIPAL | 4496384 |
Regulatory assets under management
| Total Number of Accounts | 393 |
| AUM (Assets Under Management) | $ 122,987,781 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
