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Matthew Brian Mooney

Williams Trading LLC

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About Matthew Brian Mooney

Matthew Mooney is a financial professional with over 20 years of experience in the industry. Matthew currently works at Williams Trading LLC, a firm specializing in trading and investment services. Prior to Williams Trading LLC, Matthew has held positions at several other prominent financial institutions, including WELLS FARGO SECURITIES, LLC, GREENWICH PRIME TRADING GROUP, LLC, SUNTRUST SECURITIES, INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and GOLDMAN, SACHS & CO.

Firm Information

Matthew Mooney is currently registered with Williams Trading LLC. Williams Trading LLC is a Limited Liability Company formed in December 2010. The firm is registered with the SEC and in 31 states.

Not reported

Assets Under Management

Not reported

Total Clients

15

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 Mooney’s Registration & Firm History

CT

01/17/2012 - Present

Williams Trading LLC (WESTPORT CT)

NY

09/13/2010 - 01/18/2012

WELLS FARGO SECURITIES, LLC (NEW YORK NY)

CT

04/01/2004 - 11/08/2010

WILLIAMS TRADING LLC (STAMFORD CT)

TX

02/18/2009 - 02/19/2009

GREENWICH PRIME TRADING GROUP, LLC (DALLAS TX)

GA

08/13/2003 - 04/06/2004

SUNTRUST SECURITIES, INC. (ATLANTA GA)

NY

10/09/2000 - 08/20/2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

09/16/1998 - 07/27/1999

GOLDMAN, SACHS & CO. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/24/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/26/2007

Series 24 - General Securities Principal Examination

BC

Issued 07/27/2004

Series 4 - Registered Options Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/05/2004

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 10/06/1998

Series 3 - National Commodity Futures Examination

BC

Issued 09/14/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Matthew Brian Mooney.
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