Matthew W. Stellwagen
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 William Stellwagen was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1996. Matthew had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 14, Series 4, Series 8, Series 27 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
March 18, 2003 - September 2, 2014
UBS SECURITIES LLC
August 24, 1999 - December 21, 2001
BANC OF AMERICA SECURITIES LLC
January 9, 1998 - August 23, 1999
HD BROUS & CO., INC.
December 23, 1997 - January 15, 1998
SCHNEIDER SECURITIES, INC.
June 30, 1997 - January 1, 1998
MORGAN GRANT CAPITAL CORP.
November 11, 1996 - September 25, 1997
INVESTORS ASSOCIATES, INC.
November 5, 1996 - November 11, 1996
INVESTORS ASSOCIATES, INC.
August 26, 1996 - October 29, 1996
INVESTORS ASSOCIATES, 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 8
Date: 1/28/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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
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