Matthew Hodges
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 Hodges, who also goes by Matt Hodges, Matthew Henry Neal Hodges, Matthew Henry Noel Hodges, Matthew Henryneal Hodges, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1990. Matthew had worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2026 - June 4, 2026
FIDELITY BROKERAGE SERVICES LLC
July 11, 2014 - June 4, 2026
NATIONAL FINANCIAL SERVICES LLC
February 24, 2012 - June 5, 2014
MORGAN STANLEY
January 11, 2012 - June 5, 2014
MORGAN STANLEY
June 1, 2009 - October 1, 2009
MORGAN STANLEY
June 1, 2009 - October 1, 2009
MORGAN STANLEY
April 27, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 19, 1997 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 8, 1995 - April 25, 1997
GRIFFIN FINANCIAL SERVICES
April 19, 1994 - April 3, 1995
FROST BROKERAGE SERVICES, INC.
February 25, 1992 - March 31, 1994
SWBC INVESTMENT COMPANY
September 4, 1990 - January 31, 1991
CIBC WORLD MARKETS CORP.
July 31, 1990 - August 8, 1990
F.N. WOLF & CO., INC.
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 99TO
Date: 12/16/2025
Operations Professional ExaminationCurrent 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 |
| 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 | 126 |
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.
