Matthew J. Brown
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 John Brown was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1994. Matthew had worked at 10 firms and has passed the Series 65, Series 63, 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
April 17, 2018 - March 4, 2020
J.P. MORGAN SECURITIES LLC
October 4, 2017 - March 4, 2020
J.P. MORGAN SECURITIES LLC
April 20, 2012 - April 1, 2016
ICAP SECURITIES USA LLC
March 6, 2007 - April 1, 2016
TP ICAP GLOBAL MARKETS AMERICAS LLC
July 11, 2006 - March 6, 2007
BGC FINANCIAL, L.P.
September 15, 2003 - February 9, 2006
CITIGROUP GLOBAL MARKETS INC.
February 21, 1996 - September 16, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 21, 1995 - October 25, 1995
CITIGROUP GLOBAL MARKETS INC.
August 29, 1994 - December 6, 1994
INVESTORS ASSOCIATES, INC.
August 25, 1994 - April 17, 1996
WESTFIELD FINANCIAL CORPORATION
August 19, 1994 - September 6, 1994
H.J. MEYERS & CO., INC.
August 5, 1994 - August 19, 1994
WESTFIELD FINANCIAL CORPORATION
July 19, 1994 - September 15, 1994
HIBBARD BROWN & CO., INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
