Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Matthew? Claim Your ProfileMatthew Lowell Broch is a financial advisor with over 20 years of experience in the financial services industry. Matthew has held positions with A. G. Edwards & Sons, Inc., Simmers Capital Management Corporation, Citigroup Global Markets Inc., Morgan Stanley Smith Barney, and Wells Fargo Clearing Services, LLC. Matthew is currently registered as a Registered Representative with Wells Fargo Clearing Services, LLC, and is licensed in several states. Matthew has experience in a variety of investment areas, including portfolio management, financial planning, and investment consulting.
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.
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.
Investment consulting services to institutional clients
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.
1
2
IL
09/30/2011 - Present
Wells Fargo Clearing Services, LLC (SPRINGFIELD IL)
IL
06/01/2009 - 10/17/2011
MORGAN STANLEY SMITH BARNEY (SPRINGFIELD IL)
IL
08/03/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SPRINGFIELD IL)
IL
05/10/2002 - 08/08/2007
A. G. EDWARDS & SONS, INC. (LINCOLN IL)
AZ
10/19/2001 - 02/04/2002
SIMMERS CAPITAL MANAGEMENT CORPORATION (PHOENIX AZ)
BOTH
Issued 09/24/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/06/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/14/2003
Series 3 - National Commodity Futures Examination
BC
Issued 05/09/2002
Series 7 - General Securities Representative Examination
BC
Issued 10/18/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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