Matthew Roma is a registered investment advisor, based in Chicago, IL, with 14 years of industry experience.
Location
181 W. Madison St, 35th Floor, Chicago, IL, 60602-4690
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Cibc World Markets CORP.Broker
March 2019 - Present · 7 yrs 2 mos
Cibc World Markets CORP.
March 2019 - Present · 7 yrs 2 mos
Cibc Private Wealth Advisors, INC.
May 2018 - Present · 8 yrs
Previous Registrations
Cedar Capital, LLC
February 2015 - May 2018 · 3 yrs 3 mos
Foreside Fund Services, LLCBroker
October 2014 - May 2018 · 3 yrs 7 mos
Good Harbor Financial
June 2013 - January 2015 · 1 yr 7 mos
Northern Lights Distributors, LLCBroker
February 2013 - October 2014 · 1 yr 8 mos
Good Harbor Financial
November 2010 - December 2011 · 1 yr 1 mo
State Registrations3 states
DEIAIL
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.