Individual Firm
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MATTHEW PAUL MCCOY
MATT MCCOY
CRD#: 4855742
IA
B
SOWELL MANAGEMENTCRD#: 127145 3077 Broad Street
STE 2A
Chattanooga, TN 37408
STE 2A
Chattanooga, TN 37408
PURSHE KAPLAN STERLING INVESTMENTSCRD#: 35747 3077 Broad Street
Suite 2A
CHATTANOOGA, TN 37408
Suite 2A
CHATTANOOGA, TN 37408
View By:
10/6/2020
Customer Dispute
Settled
State Registrations
B
Tennessee 9/13/2012
IA
Tennessee 10/3/2016
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
Registered with this firm since 10/3/2016
B
Registered with this firm since 9/13/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/13/2012 - 04/13/2017 | CHATTANOOGA, TN | |
IA | 06/01/2009 - 09/17/2012 | CHATTANOOGA, TN | |
B | 05/29/2009 - 09/17/2012 | CHATTANOOGA, TN | |
IA | 06/30/2005 - 06/01/2009 | CHATTANOOGA, TN | |
B | 11/12/2004 - 06/01/2009 | CHATTANOOGA, TN | |
B | 11/12/2004 - 07/03/2006 | MINNEAPOLIS, MN |
CHATTANOOGA, TN
06/01/2009 - 09/17/2012
CHATTANOOGA, TN
05/29/2009 - 09/17/2012
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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.
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