Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Matthew? Claim Your ProfileMatthew L. Day is a financial professional who has been in the industry since 2001. Matthew is registered with Roth Capital Partners, LLC and holds a Series 7, Series 63, Series 79TO and SIE license. Matthew was previously registered with Lehman Brothers Inc. from 2001 to 2002. Matthew has a state exam registration in California and Connecticut. Matthew has been active in the industry since 2018.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
(1) distribution of sell-side research reports/corporate access (2) solicitor
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
1
2
CA
08/02/2019 - Present
Roth Capital Partners, LLC (NEWPORT BEACH CA)
NY
12/03/2001 - 07/31/2002
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 06/28/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/02/2019
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 04/25/2019
SIE - Securities Industry Essentials Examination
BC
Issued 11/30/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Matthew Day is the right advisor for you? Invested Better is here to help.
