Individual Firm
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MATTHEW LAWRENCE KERN
MATT KERN, MATTHEW L KERN
CRD#: 2035413
IA
B
MML INVESTORS SERVICES, LLCCRD#: 10409 Charlotte, NC
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3/6/2012
Customer Dispute
Denied
State Registrations
B
Arizona 1/9/2025
B
North Carolina 4/20/1990
B
California 7/2/2014
IA
North Carolina 1/11/2006
B
Colorado 12/18/2019
B
Pennsylvania 5/9/2018
B
Florida 1/12/2018
B
South Carolina 2/18/1999
B
New Jersey 1/9/2025
B
Virginia 11/20/1991
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.