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MM

Mathew J. Mcconnell

BANCTRUST SECURITIES USA
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 1186235
MM

Professional summary

Mathew James Mcconnell, who also goes by Mathew J Mcconnell, Mathew James Mcconnell Jr, is a registered financial professional currently at BANCTRUST SECURITIES USA located in New York, New York.

Mathew is registered as a RR (Registered Representative) and started their career in finance in 1983. Mathew has worked at 14 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mathew J Mcconnell | Mathew James Mcconnell Jr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mathew James Mcconnell's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 2, 2024 - Present

BANCTRUST SECURITIES USA

Office #1: 1 Rockefeller Plaza 28th Floor, New York, NY 10020
BD
CRD#: 313116
NEW YORK, NY
Past

September 25, 2023 - May 1, 2024

CAPCONNECT+ EMARKETS

BD
CRD#: 310433
WESTLAKE VILLAGE, CA
Past

September 8, 2022 - September 22, 2023

FINALIS SECURITIES LLC

BD
CRD#: 305908
NEW YORK, NY
Past

March 4, 2020 - September 6, 2022

MARCO POLO SECURITIES INC.

BD
CRD#: 46561
NEW YORK, NY
Past

June 5, 2018 - February 26, 2020

GLOBAL FRONTERA MARKETS INC.

BD
CRD#: 144634
NEW YORK, NY
Past

July 21, 2014 - May 24, 2018

AUERBACH GRAYSON & COMPANY LLC

BD
CRD#: 30761
NEW YORK, NY
Past

January 16, 2009 - October 5, 2011

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
NEW YORK CITY, NY
Past

December 16, 2008 - October 3, 2011

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
NEW YORK CITY, NY
Past

January 22, 2007 - December 4, 2008

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

April 7, 2003 - January 4, 2007

THE GRISWOLD COMPANY, INCORPORATED

BD
CRD#: 32944
NEW YORK, NY
Past

June 9, 1999 - April 4, 2003

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

January 1, 1996 - June 3, 1999

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

August 2, 1995 - January 1, 1996

JAMES CAPEL INCORPORATED

BD
CRD#: 15390
Past

May 28, 1986 - July 6, 1995

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

September 21, 1983 - June 12, 1986

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(4/22/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/25/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/17/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/6/1995
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BANCTRUST SECURITIES USA
BANCTRUST & CO. | BTCO SECURITIES LLC | BANCTRUST SECURITIES USA

CRD#: 313116 / SEC#: , 8-70708

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1 Rockefeller Plaza 28th Floor, New York, NY 10020
Mailing Address
1 Rockefeller Plaza, New York, NY 10020
Phone number
(212) 466-6512
Established
Delaware since 03/09/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BTCM HOLDINGS LLCOWNER
BUNT, DAVID JOHNCCO,COO2201693
FUENMAYOR, CARLOS RICARDOCEO, PRINCIPAL & DIRECTOR4055839
GRAY, JOHN CLARKEFINANCIAL AND OPERATIONS PRINCIPAL (FINOP)1367440

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.

Company Information

BANCTRUST SECURITIES USA

CRD#: 313116New York, NY 10020

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