Matthew Brian Mooney
Professional Summary
Matthew Brian Mooney is a registered financial advisor currently at WILLIAMS TRADING LLC located in Westport, Connecticut. Matthew is registered as a RR (Registered Representative) and started their career in finance in 1998. Matthew has worked at 6 firms and has passed the Series 63, Series 3, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
28 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
WILLIAMS TRADING LLC
Contact Information
Main Address
450 Post Road East Suite 120, Westport, CT 06880Mailing Address
450 Post Road East Suite 120, Westport, CT 06880Phone Number
(203) 353-7600Established
Connecticut since 12/31/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (31 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILLIAMS, DAVID BREWSTER | MANAGING MEMBER/GENERAL SECURITIES PRINCIPAL | 1715713 |
| GOERTZ, JOSEPH THOMAS | CHIEF COMPLIANCE OFFICER/DIRECTOR OF OPERATIONS | 5607738 |
| MARCIANO, LANCE DANIEL | CHIEF OPERATING OFFICER | 2261020 |
| MOONEY, MATTHEW BRIAN | REGISTERED OPTIONS PRINCIPAL | 3100953 |
| MOROVATI, BABAK BOBBY | CFO/FINANCIAL OPERATIONS PRINCIPAL/PFO/POO | 5650049 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(9/7/2023)
(6/14/2018)
(1/17/2012)
(1/17/2012)
(1/17/2012)
(6/14/2018)
(1/17/2012)
(1/17/2012)
(1/17/2012)
(6/25/2018)
(7/18/2018)
(1/17/2012)
(1/17/2012)
(6/22/2018)
(6/14/2018)
(1/17/2012)
(1/17/2012)
(7/21/2017)
(6/15/2018)
(6/14/2018)
(7/18/2018)
(1/17/2012)
(4/4/2024)
(2/1/2018)
(6/14/2018)
(1/17/2012)
(3/8/2024)
(7/21/2017)
(1/17/2012)
(6/14/2018)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Apr 2004SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Matthew Brian Mooney's CRS (Customer Relationship Summary).
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