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 Smith is a financial professional with over 20 years of experience in the industry. Matthew currently holds a Series 7, Series 63, Series 66, Series 79 and SIE licenses. Matthew is registered with Bofa Securities, Inc. in New York. Matthew has previously held positions at HSBC Securities (USA) INC, CHASE INVESTMENT SERVICES CORP, AMERICAN EXPRESS FINANCIAL ADVISORS INC, and IDS LIFE INSURANCE COMPANY.
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.
Research-related services
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.
Negotiated fees for research-related services
1
2
NY
11/11/2019 - Present
Bofa Securities, Inc. (NEW YORK NY)
NY
10/30/2018 - 10/31/2019
HSBC SECURITIES (USA) INC. (SYRACUSE NY)
IL
09/28/2004 - 03/14/2005
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
MN
06/05/2003 - 08/05/2004
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
06/05/2003 - 08/05/2004
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 01/17/2020
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 06/13/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/09/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/31/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/30/2018
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 06/03/2003
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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