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Mathew J. Mcconnell

Some features on this profile are disabled
CRD#: 1186235
MM

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.

Mathew James Mcconnell, who also goes by Mathew J Mcconnell, Mathew James Mcconnell Jr, was a registered financial professional .

Mathew is a previously registered financial professional and started their career in finance in 1983. Mathew had worked at 14 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 2, 2024 - November 28, 2025

BANCTRUST SECURITIES USA

BD
CRD#: 313116
NEW YORK, NY
Past

September 25, 2023 - May 1, 2024

CAPCONNECT+ EMARKETS

BD
CRD#: 310433
YULEE, FL
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 LLC

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
620 Fifth Avenue Suite 206, New York, NY 10020
Mailing Address
620 Fifth Avenue Suite 206, New York, NY 10020
Phone number
(212) 466-6513
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
FUENMAYOR, CARLOS RICARDOCEO, PRINCIPAL & DIRECTOR4055839
GRAY, JOHN CLARKEFINANCIAL AND OPERATIONS PRINCIPAL (FINOP)1367440
LEBOWITZ, ROBERT SETHCCO2664643

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#: 313116

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