Matthew J. Schott
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 John Schott, who also goes by Matt Schott, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1984. Matthew had worked at 6 firms and has passed the Series 63, SIE, Series 99, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2015 - July 12, 2017
FIDELITY BROKERAGE SERVICES LLC
October 27, 1995 - January 9, 2001
FIDELITY BROKERAGE SERVICES LLC
October 8, 1987 - October 27, 1995
NATIONAL FINANCIAL SERVICES LLC
September 19, 1986 - July 18, 1987
INVEST FINANCIAL CORPORATION
September 18, 1985 - July 17, 1986
AMERIPRISE ADVISOR SERVICES, INC.
August 7, 1984 - September 16, 1985
FSC SECURITIES CORPORATION
July 26, 1984 - September 4, 1984
MARION BASS SECURITIES CORPORATION
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 8
Date: 1/22/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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