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MS

Matthew R. Sweet

Some features on this profile are disabled
CRD#: 2086238
MS

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 Rowe Sweet was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 1990. Matthew had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.) Town of Goshen, CT. Treasurer. Not investment related. Starting July 2021. Approx 4 hours per month.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 5, 2017 - April 14, 2025

OSAIC INSTITUTIONS, INC.

RIA
CRD#: 35371
Goshen, CT
Past

September 5, 2017 - April 14, 2025

OSAIC INSTITUTIONS, INC.

BD
CRD#: 35371
Goshen, CT
Past

August 23, 2010 - July 21, 2017

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
TORRINGTON, CT
Past

August 20, 2010 - July 21, 2017

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
Torrington, CT
Past

November 10, 2006 - August 20, 2010

OSAIC INSTITUTIONS, INC.

BD
CRD#: 35371
LITCHFIELD, CT
Past

October 5, 2006 - August 20, 2010

OSAIC INSTITUTIONS, INC.

RIA
CRD#: 35371
LITCHFIELD, CT
Past

June 16, 2005 - September 26, 2006

THE MASSMUTUAL TRUST COMPANY

RIA
CRD#: 108975
HARTFORD, CT
Past

January 3, 1991 - May 2, 1991

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
Past

January 3, 1991 - May 2, 1991

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
Past

September 12, 1990 - November 29, 1990

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
Past

September 12, 1990 - November 29, 1990

PRUCO SECURITIES, LLC.

BD
CRD#: 5685

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.

CRD#: 35371 / SEC#: 801-67242, 8-46661

RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)
Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)
Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)
New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/16/2006
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/11/2001
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/9/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/11/1990
Investment Company Products/Variable Contracts Representative Examination

Current Firm

OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.

CRD#: 35371 / SEC#: 801-67242, 8-46661

RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)
Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)
Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)
New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADV 2A (3/31/2025)
ADV WRAP APPENDIX - AMP (3/31/2025)
ADV WRAP APPENDIX - ADVISOR MANAGED (LEGACY USE ONLY) (3/31/2025)
ADV WRAP APPENDIX - WEALTHSELECT (LEGACY USE ONLY) (3/31/2025)
ADV WRAP APPENDIX - UMA (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
OSAIC INSTITUTIONS HOLDINGS, INC.HOLDING COMPANY
AMARANTE, STEPHEN PAULPRESIDENT, CEO AND DIRECTOR3165067
CORNICK, GREGORY ALLENDIRECTOR3132991
HAMMOND, DORI JAMILLECHIEF COMPLIANCE OFFICER3259012
MITCHELL, CHRISTOPHER MILLSCORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL2420144
PRICE, JAMES DALECHAIRMAN1243224
SCHLUETER, MATTHEW ADAMDIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS2627931

Regulatory assets under management

Total Number of Accounts8,779
AUM (Assets Under Management)$ 4,024,448,971

Disclosures

Regulatory Event8

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.

Company Information

OSAIC INSTITUTIONS, INC.

CRD#: 35371

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