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ML

Matthew Lindsly

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CRD#: 7403918
ML

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 Lindsly was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 2022. Matthew had worked at 1 firm and has passed the 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 7, 2022 - February 24, 2023

TRIPLETREE, LLC

BD
CRD#: 42820
Minneapolis, MN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 79TO
Date: 5/7/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/31/2021
Securities Industry Essentials Examination

Current Firm

TL
TRIPLETREE, LLC
CHERRY TREE & CO., LLC | TRIPLETREE, LLC

CRD#: 42820 / SEC#: , 8-50015

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
8200 Normandale Lake Blvd 7th Floor, Bloomington, MN 55437
Mailing Address
8200 Normandale Lake Blvd 7th Floor, Bloomington, MN 55437
Phone number
(952) 223-8400
Established
Minnesota since 01/13/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL ONE, N.A.SHAREHOLDER
HALPRIN, GABRIELLE BAILLEUXCHIEF FINANCIAL OFFICER/FINOP5087341
MULLIGAN, ROBERTCHIEF COMPLIANCE OFFICER1584973
ROER, PATRICIA LANGDIRECTOR3157205
ROTH, JUSTIN JPRESIDENT/HEAD OF INVESTMENT BANKING6886704
TULIP, STEVEN ANDREWDIRECTOR2540149

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

TRIPLETREE, LLC

CRD#: 42820

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