Hiram A. Matthews
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.
Hiram Alvin Matthews, who also goes by Hiram Alvin Matthelos, Hiram Alvin Matthews Jr, was a registered financial professional .
Hiram is a previously registered financial professional and started their career in finance in 1985. Hiram had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 5, Series 15, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2012 - February 27, 2020
LLOYDS SECURITIES
February 25, 2010 - February 9, 2012
UBS SECURITIES LLC
February 4, 2009 - February 16, 2010
CASTLEOAK SECURITIES, LP
June 22, 1998 - January 28, 2009
BARCLAYS CAPITAL INC.
May 28, 1991 - July 14, 1998
UBS SECURITIES LLC
March 14, 1989 - May 10, 1991
CHASE SECURITIES, INC.
March 21, 1986 - February 23, 1989
GOLDMAN SACHS MONEY MARKETS INC.
October 22, 1985 - March 11, 1986
GOLDMAN SACHS & CO. LLC
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 5
Date: 12/23/1985
Interest Rate Options ExaminationSeries 15
Date: 12/11/1985
Foreign Currency Options ExaminationCurrent Firm
LLOYDS SECURITIES
CRD#: 154515 / SEC#: , 8-68647
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LLOYDS AMERICA SECURITIES CORPORATION | SHAREHOLDER-COMMON STOCK | |
| CRAWFORD, SUSAN ADELAIDE | HEAD OF RISK | 7415877 |
| FALLAN, WESLEY ROBERT | PRESIDENT OF LLOYDS SECURITIES | 6313069 |
| HOUGHTON, ROSS ANDREW | CHIEF FINANCIAL OFFICER, NA | 6493863 |
| MANSFIELD, WILLIAM RENICK JR | CEO AND COUNTRY HEAD, LLOYDS BANK CORPORATE MARKETS, NORTH AMERICA | 1398078 |
| NADEL, MITCHELL NEIL | HEAD OF FINANCIAL MARKETS | 6157639 |
| ROWLANDS, MARK KEITH | PRINCIPAL FINANCIAL OFFICER & TREASURER | 6601550 |
| SMITH, KELVINA MONIQUE | CHIEF LEGAL OFFICER, LSI | 7419693 |
| STEINBERG, MICHAEL NMN | CHIEF COMPLIANCE OFFICER | 1062776 |
| TRYPHONIDES, NICHOLAS | PRINCIPAL OPERATIONS OFFICER (POO), SECRETARY | 6446246 |
Red Flags
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