Matthew K. Stapen
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 Kyle Stapen, who also goes by Matt Stapen, Matthew Kyle Stapen, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1992. Matthew had worked at 13 firms and has passed the Series 63, Series 72, 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
July 18, 2022 - September 12, 2025
BTIG, LLC
April 25, 2019 - July 18, 2022
MIZUHO SECURITIES USA LLC
December 2, 2015 - April 18, 2019
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 6, 2012 - December 11, 2015
HAPOALIM SECURITIES USA, INC.
August 3, 2009 - December 15, 2011
CANTOR FITZGERALD & CO.
February 23, 2009 - May 7, 2009
NATWEST MARKETS SECURITIES INC.
June 1, 2004 - February 24, 2009
ABN AMRO INCORPORATED
March 4, 2004 - June 2, 2004
COMMERZ MARKETS LLC
July 6, 2000 - August 22, 2003
HSBC SECURITIES (USA) INC.
January 16, 1996 - March 14, 2000
FEDERATED SECURITIES CORP.
October 23, 1995 - November 14, 1995
STIRES & CO., INC.
August 26, 1993 - October 25, 1994
FINANCORP GROUP INTERNATIONAL CORPORATION
December 1, 1992 - April 14, 1993
BARCLAYS CAPITAL INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
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