Matthew Rossi
Professional summary
Matthew Rossi, who also goes by Matthew Michael Rossi, is a registered financial professional currently at BREAN CAPITAL, LLC located in Charlotte, North Carolina.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 1996. Matthew has worked at 9 firms and has passed the Series 63, Series 72, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Matthew Rossi's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 6, 2019 - Present
BREAN CAPITAL, LLC
Office #1: Two Morrocroft Centre 4064 Colony Road, Suite 305, Charlotte, NC 28211October 27, 2009 - March 27, 2018
MIZUHO SECURITIES USA LLC
September 2, 2008 - October 26, 2009
FHN FINANCIAL SECURITIES CORP.
March 1, 2006 - August 8, 2008
COUNTRYWIDE SECURITIES CORPORATION
June 17, 2005 - March 2, 2006
J.P. MORGAN SECURITIES INC.
August 1, 1997 - June 14, 2005
MORGAN STANLEY MARKET PRODUCTS INC.
July 30, 1997 - June 14, 2005
MORGAN STANLEY & CO. LLC
October 25, 1996 - April 28, 1997
CIBC WORLD MARKETS CORP.
August 7, 1996 - October 22, 1996
AMERIPRISE ADVISOR SERVICES, 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
(11/2/2021)
(6/19/2019)
(9/10/2020)
(6/6/2019)
(6/7/2019)
(4/23/2020)
(6/19/2019)
(8/14/2019)
(11/8/2019)
(6/23/2021)
(6/19/2019)
(6/18/2020)
(6/7/2019)
(6/7/2019)
(8/12/2020)
(6/7/2019)
(6/6/2019)
(6/19/2019)
(6/19/2019)
(5/19/2023)
(6/7/2019)
(6/7/2019)
(6/21/2019)
(8/8/2019)
(6/19/2019)
(5/19/2020)
(9/21/2020)
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
BREAN CAPITAL, LLC
CRD#: 23723 / SEC#: , 8-40742
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMUR HOLDINGS, LLC | HOLDING COMPANY | |
| HUNT FS HOLDINGS III, LLC | HOLDING COMPANY | |
| ALLURED LLC | HOLDING COMPANY | |
| LIZINATOR LLC | HOLDING COMPANY | |
| BREAN CAPITAL HOLDINGS, LLC | HOLDING COMPANY | |
| CORWEN, STEPHEN MILLER | HEAD OF MBS/ABS SALES | 2943061 |
| FINE, ROBERT MICHAEL | CHIEF EXECUTIVE OFFICER | 1450313 |
| GUZMAN, JEFFREY M | CHIEF COMPLIANCE OFFICER | 3095123 |
| LAMARSH, JONATHAN ANDREW | PRINCIPAL OPERATIONS OFFICER | 5436335 |
| MACKLIN, JOHN TIMOTHY | PRINCIPAL OPERATIONS OFFICER | 1446800 |
| SARABELLA, ARNOLD | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 1717059 |
| TIRSCHWELL, ROBERT MOYSE | EXECUTIVE MANAGING DIRECTOR | 2230453 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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