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MF

Matthew A. Finch

COURTLANDT SECURITIES
NEWPORT BEACH, CA 92660
Some features on this profile are disabled
CRD#: 7093174
MF

Professional summary

Matthew Allan Finch is a registered financial professional currently at COURTLANDT SECURITIES CORPORATION located in Newport Beach, California.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2022. Matthew has worked at 1 firm and has passed the Series 63, Series 22TO 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 Allan Finch'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

May 26, 2022 - Present

COURTLANDT SECURITIES CORPORATION

Office #1: 895 Dove Street 3rd Floor, Newport Beach, CA 92660
BD
CRD#: 137356
NEWPORT BEACH, CA

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
California
(7/15/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 7/15/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22TO
Date: 5/26/2022
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/25/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CS
COURTLANDT SECURITIES CORPORATION
COURTLANDT | COURTLANDT SECURITIES CORPORATION | COURTLANDT FINANCIAL GROUP, INC.

CRD#: 137356 / SEC#: , 8-67081

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
895 Dove Street 3rd Floor, Newport Beach, CA 92660
Mailing Address
P.o. Box 11929, Newport Beach, CA 92658
Phone number
(800) 994-7094
Established
California since 06/07/2005
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (10 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#
CRUZ, MICHAEL LAWRENCEPRESIDENT, CEO, CHIEF COMPLIANCE OFFICER2130750
LANG, LAURAFINANCIAL AND OPERATIONS PRINCIPAL2249418

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

COURTLANDT SECURITIES CORPORATION

CRD#: 137356Newport Beach, CA 92660

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