Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Matthew? Claim Your ProfileMatthew Rowe is a financial advisor registered with Raymond James & Associates, Inc. Matthew Rowe has over 20 years of experience in the financial services industry. Matthew Rowe has held positions at several prominent firms including Morgan Stanley, M Holdings Securities, Inc., J.P. Morgan Securities Inc., Oppenheimer & Co. Inc., and CIBC World Markets Corp. Matthew Rowe is licensed to provide financial advice in several states across the United States. Matthew Rowe holds FINRA Series 7, 9, 10, 31, and 63 licenses, as well as a Series 65 license for investment advisor representation. Matthew Rowe is also a board member and a chair of the board at Santa Barbara Foundation where he focuses on providing strategic advice to the President & CEO, participating in fund-raising activities, serving on several committees including the Investment and Finance committees, helping oversee the Foundation's independent investment advisor and representing the Foundation at various functions.
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.
Please see note in schedule d - miscellaneous
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
05/11/2023 - Present
Raymond James & Associates, Inc. (SANTA BARBARA CA)
CA
03/25/2011 - 02/20/2020
MORGAN STANLEY (SANTA BARBARA CA)
CA
12/04/2009 - 03/28/2011
M HOLDINGS SECURITIES, INC. (SANTA BARBARA CA)
CA
12/02/2005 - 12/11/2009
J.P. MORGAN SECURITIES INC. (LOS ANGELES CA)
NY
01/03/2003 - 12/16/2005
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
04/20/2001 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
IA
Issued 03/31/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/27/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/29/2024
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/08/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/03/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 04/18/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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