Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
MATHEW PAUL SCHWEIFLER
MATHEW P SCHWEIFLER
CRD#: 2229762
IA
Investment Adviser
B
Broker
MOMENTUM INDEPENDENT NETWORK INC.CRD#: 17587 100 E. STREET
STE 207
SANTA ROSA, CA 95404
Registration History
19952000200520102015202020252 FIRMS2004 - 2007 (3 years)2 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - Present (12 years)BWM FINANCIAL SERVICES, INC. (CRD# 599)2001 - 2004 (3 years)BCUNA BROKERAGE SERVICES, INC. (CRD# 13941)2000 - 2001 (1 year)BLIBERTY SECURITIES CORPORATION (CRD# 14416)1992 - 2000 (7 years)BFORTIS INVESTORS, INC. (CRD# 421)1992 - 1992 (<1 year)
Disclosure(s)
View By:
5/21/2010
Customer Dispute
Settled
2/11/2009
Customer Dispute
Settled
10/23/2008
Customer Dispute
Denied
8/28/2008
Customer Dispute
Denied
1/23/2008
Customer Dispute
Settled
12/19/2005
Customer Dispute
Denied
1/13/2005
Customer Dispute
Denied
6/1/2004
Customer Dispute
Settled
5/9/2003
Customer Dispute
Denied
7/17/2001
Customer Dispute
Denied
License(s)

State Registrations

B
California 7/16/2012
B
Nevada 2/10/2023
IA
California 7/16/2012
IA
Nevada 6/13/2023
B
Colorado 10/10/2012
B
Oklahoma 1/27/2025
IA
Colorado 10/28/2014
B
Oregon 2/13/2020
B
Idaho 11/30/2022
B
Washington 10/11/2018

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MOMENTUM INDEPENDENT NETWORK INC. (CRD#:17587)
100 E. STREET STE 207, SANTA ROSA, CA 95404
717 N. HARWOOD STREET SUITE 3400, DALLAS, TX 75201
Registered with this firm since 7/16/2012
B
MOMENTUM INDEPENDENT NETWORK INC. (CRD#:17587)
100 E. STREET STE 207, SANTA ROSA, CA 95404
717 N. HARWOOD STREET SUITE 3400, DALLAS, TX 75201
Registered with this firm since 7/16/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/12/2009 - 07/17/2012 BROKERSXPRESS LLC (CRD#:127081) SANTA ROSA, CA
B
 05/11/2009 - 07/17/2012 BROKERSXPRESS LLC (CRD#:127081) SANTA ROSA, CA
IA
 05/29/2007 - 04/27/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SANTA ROSA, CA
B
 05/29/2007 - 04/27/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SANTA ROSA, CA
IA
 05/17/2004 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) SANTA ROSA, CA
B
 05/19/2004 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) SANTA ROSA, CA
B
 02/16/2001 - 05/18/2004 WM FINANCIAL SERVICES, INC. (CRD#:599) IRVINE, CA
B
 02/07/2000 - 02/21/2001 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) WAVERLY, IA
B
 10/23/1992 - 01/31/2000 LIBERTY SECURITIES CORPORATION (CRD#:14416) PURCHASE, NY
B
 04/27/1992 - 10/16/1992 FORTIS INVESTORS, INC. (CRD#:421) OAKDALE, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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
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.