Matthew R. Schiffman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Matthew Rodney Schiffman was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1982. Matthew had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 7, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2009 - May 15, 2017
CLEARBRIDGE INVESTMENTS, LLC
November 14, 2008 - May 15, 2017
FRANKLIN DISTRIBUTORS, LLC
March 13, 2008 - November 6, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
January 18, 2008 - November 6, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 10, 2003 - June 21, 2006
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
June 11, 2002 - October 1, 2003
BNY MELLON SECURITIES CORPORATION
January 1, 2002 - May 30, 2002
JOHN HANCOCK DISTRIBUTORS LLC
April 25, 2000 - January 1, 2002
MANUFACTURERS SECURITIES SERVICES, LLC
September 15, 1994 - September 7, 1999
MANULIFE WOOD LOGAN, INC.
April 19, 1993 - August 1, 1994
NICHOLAS-APPLEGATE SECURITIES LLC
November 9, 1987 - November 18, 1992
UBS FINANCIAL SERVICES INC.
April 20, 1987 - October 1, 1987
MFS FINANCIAL SERVICES, INC.
December 7, 1982 - November 18, 1992
UBS FINANCIAL SERVICES INC.
January 25, 1982 - December 28, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
CLEARBRIDGE INVESTMENTS, LLC
CRD#: 137028 / SEC#: 801-64710
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 6/12/1984
Foreign Currency Options ExaminationSeries 8
Date: 4/25/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CLEARBRIDGE INVESTMENTS, LLC
CRD#: 137028 / SEC#: 801-64710
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 122,375 |
| AUM (Assets Under Management) | $ 180,788,611,945 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/27/2025 | ||
| 01/24/2025 | ||
| 11/20/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
