Matthew A. Sims
Professional summary
Matthew Alexander Sims is a registered financial professional currently at DRIVEWEALTH, LLC located in New York, New York and DRIVEWEALTH INSTITUTIONAL LLC located in New York, New York.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 1994. Matthew has worked at 13 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 24, Series 10, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Matthew Alexander Sims's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 19, 2024 - Present
DRIVEWEALTH, LLC
Office #1: 28 Liberty Street 50th Floor, New York, NY, 10005January 29, 2024 - Present
DRIVEWEALTH INSTITUTIONAL LLC
Office #1: 28 Liberty Street 50th Floor, New York, NY 10005November 8, 2021 - June 5, 2023
LOOP CAPITAL MARKETS LLC
March 20, 2018 - July 21, 2020
COWEN EXECUTION SERVICES LLC
March 20, 2018 - November 5, 2021
COWEN AND COMPANY
December 15, 2015 - December 21, 2016
BROKERTEC AMERICAS LLC
November 21, 2014 - September 12, 2017
ICAP SECURITIES USA LLC
November 19, 2003 - December 5, 2012
CITIGROUP GLOBAL MARKETS INC.
April 2, 2002 - November 10, 2003
NEWEDGE USA, LLC
February 24, 2000 - January 12, 2001
MERCER PARTNERS INCORPORATED
June 9, 1999 - February 1, 2000
SANDS BROTHERS & CO., LTD.
January 7, 1999 - May 19, 1999
MF GLOBAL INC.
November 4, 1994 - May 12, 1997
OSAIC WEALTH, 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
(1/19/2024)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/27/1999
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
DRIVEWEALTH INSTITUTIONAL LLC
CRD#: 33038 / SEC#: , 8-31461
Contact information
FINRA licenses (32 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DRIVEWEALTH HOLDINGS INC. | SOLE MEMBER | |
| BLANGIARDO, ALESSIO | FINANCIAL & OPERATIONS PRINCIPAL | 5600541 |
| ILARIO, ANTHONY | CHIEF OPERATING OFFICER | 2262100 |
| MADARASZ, RONALD JOHN | SENIOR MANAGER, INSTITUTIONAL SALES & TRADING | 1769473 |
| METZGER, BARRY SCOTT | CHIEF EXECUTIVE OFFICER | 4719211 |
| POND, ERIC | ROSFP | 6069469 |
| QUINONES, VINCENT JOSEPH | HEAD OF EXECUTION SERVICES | 4308610 |
| TZANETEAS, ALEC MICHAEL | CHIEF COMPLIANCE OFFICER | 6983736 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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