Matthew L. Ketchum

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CRD#: 2559076

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 Ketchum, who also goes by Matthew Ketchum, was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 2005. Matthew had worked at 3 firms and has passed the Series 65, Series 63 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Matthew Ketchum

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 5, 2010 - February 19, 2014

UBS ASSET MANAGEMENT (AMERICAS) LLC

RIA

CRD#: 106838

NEW YORK, NY

Past

July 19, 2007 - October 6, 2010

UBS ASSET MANAGEMENT (US) INC.

RIA

CRD#: 583

CHICAGO, IL

Past

July 26, 2005 - June 6, 2007

ALIGHT FINANCIAL SOLUTIONS, LLC

RIA

CRD#: 36509

LINCOLNSHIRE, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

UBS ASSET MANAGEMENT (AMERICAS) LLC

CRD#: 106838 / SEC#: 801-34910

RIA

Registered Investment Advisory firm - (9/11/1989 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/29/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/27/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52

Date: 10/27/1994

Municipal Securities Representative Examination

Current Firm

UBS ASSET MANAGEMENT (AMERICAS) LLC

CRD#: 106838 / SEC#: 801-34910

RIA

Registered Investment Advisory firm - (9/11/1989 Approved)

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Contact information

Main Address

787 7th Avenue, New York, NY 10019

Mailing Address

Phone number

(212) 713-2000

Established

Firm type

Fiscal year end

# of Employees

792

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UBS AM (AMERICAS) LLC - UGA FORM ADV PART 2A (7/1/2025)

UBS AM (AMERICAS) LLC - O'CONNOR FORM ADV PART 2A (3/31/2025)

UBS AM (AMERICAS) LLC - GRA AMERICAS FORM ADV PART 2A (3/31/2025)

UBS AM (AMERICAS) LLC - UBS AM FORM ADV PART 2A (3/31/2025)

UBS AM (AMERICAS) LLC - CIG FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	399,225
AUM (Assets Under Management)	$ 542,245,991,275

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2025	Cover Page	Report

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.

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Firm Stability Insights

Matthew L. Ketchum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UBS ASSET MANAGEMENT (AMERICAS) LLC

UBS ASSET MANAGEMENT (US) INC.

ALIGHT FINANCIAL SOLUTIONS, LLC

Primary Firm SEC Registration

UBS ASSET MANAGEMENT (AMERICAS) LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/29/2005

Series 63

Date: 8/27/1999

Series 52

Date: 10/27/1994

Current Firm

UBS ASSET MANAGEMENT (AMERICAS) LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

UBS ASSET MANAGEMENT (AMERICAS) LLC

TRUST BUT VERIFY

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