Stephen J. Cucchia
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.
Stephen John Cucchia, who also goes by Stephen Cucchia, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1984. Stephen had worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 27, Series 53, Series 4, Series 24, Series 14 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
September 29, 2016 - November 1, 2023
JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC
September 26, 2016 - November 1, 2023
THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.
August 12, 2015 - June 20, 2016
MILLENNIAL ADVISERS, LLC.
June 24, 2013 - June 20, 2016
ALLIED MILLENNIAL PARTNERS, LLC
October 8, 2012 - November 7, 2012
JOSEPH GUNNAR & CO. LLC
May 11, 2010 - November 7, 2012
JOSEPH GUNNAR & CO. LLC
December 2, 2004 - December 12, 2008
NATIONAL FINANCIAL SERVICES LLC
June 24, 2003 - December 6, 2004
CORRESPONDENT SERVICES CORPORATION
August 11, 1993 - January 29, 1998
CORRESPONDENT SERVICES CORPORATION
November 26, 1990 - July 1, 2003
UBS FINANCIAL SERVICES INC.
November 29, 1984 - July 29, 1997
BROADCORT CAPITAL CORP.
Primary Firm SEC Registration
JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC
CRD#: 155392 / SEC#: 801-132626
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 4/29/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC
CRD#: 155392 / SEC#: 801-132626
Contact information
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 360 |
| AUM (Assets Under Management) | $ 127,200,152 |
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.
