Matthew L. Wilder
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 Lawrence Wilder, who also goes by Matt Wilder, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1991. Matthew had worked at 15 firms and has passed the Series 63, Series 65, SIE 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
October 11, 2016 - September 21, 2018
FIS BROKERAGE & SECURITIES SERVICES LLC
December 7, 2010 - December 2, 2011
CARIS & COMPANY, INC.
September 23, 2009 - April 23, 2010
BREAN CAPITAL, LLC
May 19, 2009 - September 21, 2009
NOBLE CAPITAL MARKETS, INC.
February 29, 2008 - April 9, 2009
RBC CAPITAL MARKETS, LLC
October 29, 2004 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
February 18, 2004 - November 2, 2004
RBC CAPITAL MARKETS, LLC
February 18, 2004 - November 2, 2004
RBC CAPITAL MARKETS, LLC
July 9, 2002 - February 20, 2004
CREDIT SUISSE SECURITIES (USA) LLC
March 21, 2000 - February 20, 2004
CREDIT SUISSE SECURITIES (USA) LLC
July 1, 1998 - April 6, 2000
COWEN AND COMPANY
March 25, 1997 - July 1, 1998
FINANCIAL SQUARE PARTNERS
April 15, 1996 - April 8, 1997
HAMBRECHT & QUIST LLC
January 4, 1996 - April 22, 1996
FIDELITY DISTRIBUTORS COMPANY LLC
October 7, 1993 - December 31, 1995
FIDELITY BROKERAGE SERVICES LLC
April 28, 1993 - October 8, 1993
JOSEPHTHAL & CO., INC.
June 8, 1992 - February 5, 1993
D. BLECH & COMPANY, INCORPORATED
March 15, 1991 - May 22, 1992
LEHMAN BROTHERS 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
Current Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
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.
