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Matthew Barry Baldwin

Smbc Nikko Securities America, Inc.

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About Matthew Barry Baldwin

Matthew Baldwin is a financial professional with over 12 years of experience in the industry. Matthew is currently registered with Smbc Nikko Securities America, Inc. in New York, NY. Matthew has previously worked at J.P. MORGAN SECURITIES LLC, SG AMERICAS SECURITIES, LLC, SOURCE CAPITAL GROUP, INC., UBS SECURITIES LLC, and BEAR WAGNER SPECIALISTS LLC. Matthew holds the Series 7, Series 63, SIE, and Series 79TO licenses and is registered in 51 states.

Firm Information

Matthew Baldwin is currently registered with Smbc Nikko Securities America, Inc.. Smbc Nikko Securities America, Inc. is a Corporation registered in the United States and has been in operation since August 8, 1990. The firm has a presence in all 50 states and the District of Columbia, with a total of 52 state registrations. Smbc Nikko Securities America, Inc. has one SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

313

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Matthew Baldwin’s Registration & Firm History

NY

01/11/2021 - Present

Smbc Nikko Securities America, Inc. (NEW YORK NY)

NY

05/16/2017 - 02/27/2020

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NY

10/22/2013 - 06/05/2017

SG AMERICAS SECURITIES, LLC (NEW YORK NY)

CT

09/24/2013 - 10/21/2013

SOURCE CAPITAL GROUP, INC. (WESTPORT CT)

NY

11/14/2007 - 09/28/2011

UBS SECURITIES LLC (NEW YORK NY)

NY

06/03/2005 - 06/27/2005

BEAR WAGNER SPECIALISTS LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/21/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/13/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

N

NYSE Arca, Inc.

Disclosures

There are no public disclosures for Matthew Barry Baldwin.
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