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Matthew Joseph Morici

Scotia Capital (usa) Inc.

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About Matthew Joseph Morici

Matthew Morici is a financial professional with over 16 years of experience in the industry. Currently, Matthew is registered with Scotia Capital (usa) Inc. Matthew has previously held positions with SMBC NIKKO Securities Canada, LTD., SMBC NIKKO Securities America, Inc., Cabrera Capital Markets, LLC, UBS Securities LLC and Citigroup Global Markets Inc.

Firm Information

Matthew Morici is currently registered with Scotia Capital (usa) Inc.. Scotia Capital (usa) Inc. is a corporation formed in 1939 and headquartered in the United States. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

108

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 Morici’s Registration & Firm History

NY

05/03/2022 - Present

Scotia Capital (usa) Inc. (NEW YORK NY)

NY

10/02/2019 - 04/04/2022

SMBC NIKKO SECURITIES CANADA, LTD. (NEW YORK NY)

NY

05/20/2014 - 04/04/2022

SMBC NIKKO SECURITIES AMERICA, INC. (NEW YORK NY)

NY

01/29/2013 - 05/22/2014

CABRERA CAPITAL MARKETS, LLC (NEW YORK NY)

NY

07/30/2009 - 08/06/2012

UBS SECURITIES LLC (NEW YORK NY)

NY

10/13/2006 - 07/30/2009

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/12/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/25/2023

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/12/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Matthew Joseph Morici.
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