Matthew F. Pelosi
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 Francis Pelosi was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1994. Matthew had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2015 - February 1, 2021
OSBORNE PARTNERS
March 19, 2008 - December 1, 2010
ADVANCED EQUITIES, INC.
March 19, 2008 - December 1, 2010
ADVANCED EQUITIES, INC.
November 20, 2003 - October 3, 2006
MORGAN STANLEY DW INC.
November 19, 2003 - October 3, 2006
MORGAN STANLEY DW INC.
December 19, 2000 - January 6, 2003
CIBC WORLD MARKETS CORP.
July 23, 1998 - December 20, 2000
J.P. MORGAN SECURITIES LLC
October 17, 1996 - July 22, 1998
CITIGROUP GLOBAL MARKETS INC.
March 20, 1996 - September 23, 1996
JOSEPHTHAL & CO., INC.
April 12, 1994 - August 3, 1994
HAMBRECHT & QUIST LLC
Primary Firm SEC Registration
OSBORNE PARTNERS
CRD#: 108100 / SEC#: 801-56319
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
Current Firm
OSBORNE PARTNERS
CRD#: 108100 / SEC#: 801-56319
Contact information
SEC notice filing (22 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,015 |
| AUM (Assets Under Management) | $ 2,358,840,039 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 01/03/2024 |
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.
