James E. Matthews

ROBERTS & RYAN

New York, NY 10006-3003

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CRD#: 2086891

Professional summary

James Edward Matthews, who also goes by James E Matthews, is a registered financial professional currently at ROBERTS & RYAN, INC. located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1997. James has worked at 5 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 25 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James E Matthews

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Edward Matthews's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

June 2, 2025 - Present

ROBERTS & RYAN, INC.

Office #1: 39 Broadway Ste 610, New York, NY 10006-3003Office #2: 39 Broadway, Suite 610, New York, NY 10006-3003

CRD#: 19456

New York, NY

Past

January 12, 2018 - June 2, 2025

WELLINGTON SHIELDS & CO., LLC

CRD#: 149021

NEW YORK, NY

Past

December 16, 2015 - January 8, 2018

GLOBAL EMERGING CAPITAL GROUP, LLC

CRD#: 130120

NEW YORK, NY

Past

October 22, 2010 - January 12, 2016

BENJAMIN & JEROLD BROKERAGE I, LLC

CRD#: 29110

NEW YORK, NY

Past

January 3, 1997 - January 3, 2011

PERDIUE SECURITIES, LLC

CRD#: 42292

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/2/2025)

Connecticut
(6/2/2025)

Delaware
(6/2/2025)

Florida
(6/2/2025)

Massachusetts
(6/2/2025)

Michigan
(6/2/2025)

New York
(6/2/2025)

Pennsylvania
(6/2/2025)

Tennessee
(6/2/2025)

Virginia
(6/12/2025)

Exams

State Security Law Exam

Series 63

Date: 3/16/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/26/2008

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/1/2000

General Securities Representative Examination

General Industry/Product Exam

Series 25

Date: 2/24/2000

NYSE Trading Assistant Examination

Principal/Supervisory Exam

Series 27

Date: 9/6/2005

Financial and Operations Principal Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

ROBERTS & RYAN, INC.

ROBERTS & RYAN INVESTMENTS INC. | ROBERTS SECURITIES, INC. | ROBERTS & RYAN, INC.

CRD#: 19456 / SEC#: 801-113965, 8-37469

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

39 Broadway Ste 1640, New York, NY 10006

Mailing Address

39 Broadway Ste 610, New York, NY 10006-3003

Phone number

(866) 884-9959

Established

Delaware since 02/01/2023

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (32 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

Name	Position	CRD#
DALESSANDRO, EDWARD JOHN	MANAGING DIRECTOR, CEO	2335785
R&R PARTNERS HOLDING COMPANY, LLC	SHAREHOLDER
R&R PRINCIPALS HOLDING COMPANY, LLC	SHAREHOLDER
BEATON, DANIEL STEWART	CHIEF FINANCIAL OFFICER, FINOP	4240769
ROBERTS, DANIEL	CCO	2208120
SCALA, BRIAN NMN	REGISTERED OPTIONS PRINCIPAL	2814478

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

James E. Matthews

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Edward Matthews's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLINGTON SHIELDS & CO., LLC

GLOBAL EMERGING CAPITAL GROUP, LLC

BENJAMIN & JEROLD BROKERAGE I, LLC

PERDIUE SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/16/2006

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 2/26/2008

Series 7

Date: 10/1/2000

Series 25

Date: 2/24/2000

Series 27

Date: 9/6/2005

FINRA

New York Stock Exchange

Current Firm

ROBERTS & RYAN, INC.

Contact information

FINRA licenses (32 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ROBERTS & RYAN, INC.

TRUST BUT VERIFY

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