Stephen D. Matthews

ACADEMY SECURITIES

New York, NY 10017

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CRD#: 2675108

Professional summary

Stephen Douglas Matthews is a registered financial professional currently at ACADEMY SECURITIES, INC. located in New York, New York.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1996. Stephen has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Stephen Douglas Matthews's 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

June 18, 2020 - Present

ACADEMY SECURITIES, INC.

Office #1: 622 3rd Avenue 12th Floor, New York, NY 10017

CRD#: 17433

New York, NY

Past

September 6, 2016 - January 2, 2020

ACADEMY SECURITIES, INC.

CRD#: 17433

New York, NY

Past

May 12, 2011 - September 1, 2016

JONESTRADING

CRD#: 6888

NEW YORK, NY

Past

December 9, 2009 - May 13, 2011

PULSE TRADING, INC.

CRD#: 104022

BOSTON, MA

Past

June 6, 2005 - November 25, 2009

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK, NY

Past

October 10, 2000 - May 3, 2005

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

September 24, 1997 - May 13, 1999

HAMBRECHT & QUIST LLC

CRD#: 940

SAN FRANCISCO, CA

Past

January 15, 1996 - October 11, 1996

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

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

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

Connecticut
(6/18/2020)

New York
(6/18/2020)

Exams

State Security Law Exam

Series 63

Date: 1/11/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/12/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/5/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ACADEMY SECURITIES, INC.

ACADEMY ASSET MANAGEMENT | STERLING INVESTMENT SERVICES, INC. | LASALLE BROKERAGE SERVICES, INC. | ACADEMY SECURITIES, INC.

CRD#: 17433 / SEC#: , 8-35173

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

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Contact information

Main Address

622 3rd Avenue 12th Floor, New York, NY 10017

Mailing Address

622 3rd Avenue 12th Floor, New York, NY 10017

Phone number

(646) 736-3995

Established

Delaware since 11/07/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (38 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MIMS, RONALD CHANCE	CHAIRMAN, CEO	5637540
GRAHAM, ANTHONY R	FINOP	4959159
GRAHAM, ANTHONY R	PRINCIPAL OPERATIONS OFFICER	4959159
GRAHAM, ANTHONY R	PRINCIPAL FINANCIAL OFFICER	4959159
GRAHAM, ANTHONY R	COO	4959159
MCCONKEY, PHILIP JOSEPH	VICE CHAIRMAN	3253139
WILCOX, SPENCER HAMILTON	PRESIDENT	5802885
BOYD, MICHAEL BARTOW	CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER	2557814

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Stephen D. Matthews

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Douglas Matthews's CRS (Customer Relationship Summary).

Certified licenses

Experience

ACADEMY SECURITIES, INC.

JONESTRADING

PULSE TRADING, INC.

HSBC SECURITIES (USA) INC.

BANC OF AMERICA SECURITIES LLC

HAMBRECHT & QUIST LLC

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/11/2001

SIE

Date: 10/1/2018

Series 7

Date: 1/12/1996

Series 24

Date: 6/5/2009

FINRA

Current Firm

ACADEMY SECURITIES, INC.

Contact information

FINRA licenses (38 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ACADEMY SECURITIES, INC.

TRUST BUT VERIFY

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