Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Matthew? Claim Your ProfileMatthew John Frederick is an active Registered Representative and Investment Advisor Representative. Matthew has been in the industry since May 1997 and is currently registered with UBS Financial Services Inc., and previously registered with MORGAN STANLEY SMITH BARNEY and CITIGROUP GLOBAL MARKETS INC. Matthew is licensed in 37 states and has passed the Uniform Investment Adviser Law Examination (Series 65), Uniform Securities Agent State Law Examination (Series 63), Securities Industry Essentials Examination (SIE), Futures Managed Funds Examination (Series 31), and General Securities Representative Examination (Series 7).
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
NE
09/29/2011 - Present
UBS Financial Services Inc. (Lincoln NE)
NE
06/01/2009 - 07/25/2011
MORGAN STANLEY SMITH BARNEY (LINCOLN NE)
NE
12/03/2004 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LINCOLN NE)
CT
07/11/1997 - 12/02/2004
PLANCO FINANCIAL SERVICES, INC. (HARTFORD CT)
NY
05/08/1997 - 06/19/1997
SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 04/08/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/29/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/21/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 05/07/1997
Series 7 - General Securities 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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