Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Matthew? Claim Your ProfileMatthew Capone is an investment advisor representative with MML Investors Services, LLC. Matthew is a highly experienced professional with over 35 years in the financial services industry. Matthew holds both Series 65 and Series 66 licenses. Matthew has previously held licenses with a number of other firms including NYLIFE Securities LLC, Capitol Securities Management, Inc., Jesup & Lamont Securities Corp., Citizens Investment Services Corp. Matthew's professional experience also includes working as a representative for Mass Mutual Life Insurance Company. Matthew is registered with the state of Rhode Island as an investment advisor representative. Matthew is also registered with the state of Rhode Island as a broker-dealer. Matthew is also registered with the states of Massachusetts, Colorado and Florida as a broker-dealer.
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.
Asset allocation programs
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.
A percentage of the total value of assets under management is charged.
Solicitors fees
1
2
RI
04/27/2015 - Present
MML Investors Services, LLC (WEST WARWICK RI)
RI
03/17/2009 - 09/18/2014
NYLIFE SECURITIES LLC (PROVIDENCE RI)
VA
09/18/2008 - 11/05/2008
CAPITOL SECURITIES MANAGEMENT, INC. (GLEN ALLEN VA)
MA
11/01/2005 - 06/10/2008
JESUP & LAMONT SECURITIES CORP (WORCESTER MA)
RI
04/10/2003 - 03/09/2004
CITIZENS INVESTMENT SERVICES CORP. (JOHNSTON RI)
NY
09/16/1996 - 04/03/2003
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
12/05/1983 - 09/19/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
11/17/1981 - 12/02/1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BOTH
Issued 04/14/2015
Series 66 - Uniform Combined State Law Examination
IA
Issued 03/25/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/20/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/02/2003
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/28/1997
Series 3 - National Commodity Futures Examination
BC
Issued 10/17/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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