Matthew Henry H. Nadel
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 Henry Henry Nadel, who also goes by Matt Nadel, Matthew Henry Nadel, Matthew Nadel, was a registered financial professional .
Matthew Henry is a previously registered financial professional and started their career in finance in 1996. Matthew Henry had worked at 12 firms and has passed the Series 63, Series 3, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2024 - September 24, 2025
UBS SECURITIES LLC
August 11, 2022 - January 10, 2024
CREDIT SUISSE SECURITIES (USA) LLC
December 6, 2021 - August 5, 2022
MARKET SECURITIES, LLC
December 3, 2019 - March 1, 2021
BELVEDERE TRADING LLC
January 11, 2018 - November 6, 2018
RBC CAPITAL MARKETS, LLC
February 26, 2010 - September 13, 2017
SG AMERICAS SECURITIES, LLC
September 3, 2008 - March 16, 2010
HAPOALIM SECURITIES USA, INC.
December 12, 2005 - April 22, 2008
MORGAN STANLEY & CO. LLC
April 1, 2004 - August 22, 2005
SWISS RE CAPITAL MARKETS CORPORATION
April 29, 2001 - March 3, 2004
J.P. MORGAN SECURITIES INC.
October 14, 1997 - May 1, 2001
JPMSI
April 17, 1996 - August 28, 1997
LAMON & STERN, 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
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 4/25/2000
Limited Representative-Equity Trader ExamCurrent Firm
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| DIMARCO, PATRICK M | CHIEF COMPLIANCE OFFICER | 4549136 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 308 |
| Civil Event | 4 |
| Arbitration | 3 |
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.
