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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Matthew? Claim Your ProfileMatthew McLaughlin is a financial advisor with UBS Financial Services Inc. based in Charlotte, North Carolina. Matthew has been in the securities industry since July 21, 1997. Matthew previously worked with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, FIRST UNION BROKERAGE SERVICES, INC., and AAL CAPITAL MANAGEMENT CORPORATION. Matthew is registered in 54 states and districts to provide investment advisory services. Matthew holds Series 6, 7, 9, 10, 63 and 66 securities licenses.
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.
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.
See schedule d - miscellaneous
1
2
NC
01/17/2020 - Present
UBS Financial Services Inc. (CHARLOTTE NC)
NC
12/16/1999 - 01/21/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NC
04/28/1998 - 06/02/1999
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
MN
11/13/1996 - 03/03/1998
AAL CAPITAL MANAGEMENT CORPORATION (MINNEAPOLIS MN)
BOTH
Issued 04/10/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/10/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/09/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/03/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/1999
Series 7 - General Securities Representative Examination
BC
Issued 11/12/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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