Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Matthew? Claim Your ProfileMatthew Kock is a financial advisor at RBC Capital Markets, LLC. Matthew has been in the financial industry since September 7, 2003. Matthew holds the Series 7, Series 31, and Series 66 licenses. Matthew has been registered with RBC Capital Markets, LLC. since August 2019. Previously, Matthew worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
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WI
08/30/2019 - Present
RBC Capital Markets, LLC (Minocqua WI)
WI
05/09/2008 - 09/03/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MINOCQUA WI)
WI
04/02/2007 - 05/12/2008
MORGAN STANLEY & CO. INCORPORATED (MINOCQUA WI)
WI
09/08/2003 - 04/02/2007
MORGAN STANLEY DW INC. (MINOCQUA WI)
BOTH
Issued 09/18/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 09/04/2003
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
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Cboe Exchange, Inc.
F
FINRA
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Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
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MIAX PEARL, LLC
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NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
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New York Stock Exchange
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