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JM

Joshua E. Matthews

MASECO PRIVATE WEALTH
London, WC2B 4BA
Some features on this profile are disabled
CRD#: 3054193
JM

Professional summary

Joshua Eli Matthews, who also goes by Joshua E Matthews, is a registered financial advisor currently at MASECO PRIVATE WEALTH .

Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Joshua has worked at 3 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7, Series 9 and Series 10 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Joshua E Matthews

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) - RIA

Click below to view Joshua Eli Matthews's CRS (Customer Relationship Summary).
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

July 27, 2011 - Present

MASECO PRIVATE WEALTH

Office #1: The Kodak 11 Keeley Street, London, WC2B 4BA
RIA
CRD#: 147686
London,
Past

February 20, 2009 - May 4, 2016

VISION BROKERAGE SERVICES, LLC

BD
CRD#: 47927
STAMFORD, CT
Past

June 29, 1998 - September 11, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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".
MP
MASECO PRIVATE WEALTH
MASECO FINANCIAL | MASECO PRIVATE WEALTH | MASECO LLP | MASECO INSTITUTIONAL

CRD#: 147686 / SEC#: 801-69385

RIA
Registered Investment Advisory firm - (8/18/2008 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Connecticut
(11/7/2025)
IAR
Texas
(7/27/2011)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/6/2011
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/8/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/1/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/4/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 9/8/1998
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 6/24/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/29/2002
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/22/2002
General Securities Sales Supervisor - General Module Examination

Current Firm

MP
MASECO PRIVATE WEALTH
MASECO FINANCIAL | MASECO PRIVATE WEALTH | MASECO LLP | MASECO INSTITUTIONAL

CRD#: 147686 / SEC#: 801-69385

RIA
Registered Investment Advisory firm - (8/18/2008 Approved)
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Contact information

Main Address
The Kodak 11 Keeley Street, London, WC2B 4BA
Mailing Address
Phone number
+44 20 7043 0455
Established
Firm type
Fiscal year end
# of Employees
125

SEC notice filing (31 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2A ADV BROCHURE JULY 2025 (7/22/2025)

Regulatory assets under management

Total Number of Accounts4,554
AUM (Assets Under Management)$ 3,829,868,260

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.

Company Information

MASECO PRIVATE WEALTH

CRD#: 147686London, WC2B 4BA

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