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Matthew C. Brown

CAIS CAPITAL LLC
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 2160159
MB

Professional summary

Matthew Crawford Brown, who also goes by Matthew C Brown, is a registered financial professional currently at CAIS CAPITAL LLC located in New York, New York.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 1991. Matthew has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Matthew C Brown

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 Matthew Crawford Brown'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

March 16, 2011 - Present

CAIS CAPITAL LLC

Office #1: 527 Madison Avenue 2nd Floor & 8th Floor, New York, NY 10022Office #2: 527 Madison Avenue 2nd Floor, New York, NY 10022
BD
CRD#: 154512
NEW YORK, NY
Past

October 17, 2006 - January 26, 2009

FAIRFIELD HEATHCLIFF CAPITAL LLC

BD
CRD#: 117647
NEW YORK, NY
Past

July 6, 1998 - July 15, 1999

BROWN SIMPSON SECURITIES, LLC

BD
CRD#: 43531
NEW YORK, NY
Past

March 30, 1995 - July 22, 1996

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MITCHELFIELD, NY
Past

July 31, 1993 - June 8, 1994

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 24, 1991 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
Connecticut
(6/23/2015)
RR
New York
(3/17/2011)
RR
Texas
(11/27/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/30/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/16/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 10/31/1991
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/13/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CAIS CAPITAL LLC
CAIS CAPITAL LLC

CRD#: 154512 / SEC#: , 8-68646

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

Main Address
527 Madison Avenue 2nd Floor, New York, NY 10022
Mailing Address
527 Madison Avenue 2nd Floor, New York, NY 10022
Phone number
(212) 300-9350
Established
Delaware since 07/27/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

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 / FINRA)

Direct owners and executive officers

NamePositionCRD#
CAPITAL INTEGRATION SYSTEMS LLCPARENT/OWNER
BROWN, MATTHEW CRAWFORDCEO/MEMBER/EXECUTIVE REP.2160159
COLLINS, MICHAEL PATRICKCCO5366193
KRZAK, ALEXANDER JACOBPOO6349160
PARISE, JANICE DRUFINOP/PFO2338583
PREMSELAAR, MARC KLEINSENIOR MANAGING DIRECTOR5395973
SHANNON, TIMOTHY BRIANPRESIDENT4461906
WALKER, BRADLEY JAYSENIOR MANAGING DIRECTOR5000838

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

CAIS CAPITAL LLC

CRD#: 154512New York, NY 10022

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