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MM

Matthew B. Mooney

WILLIAMS TRADING LLC
Westport, CT 06880
Some features on this profile are disabled
CRD#: 3100953
MM

Professional summary

Matthew Brian Mooney is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Matthew Brian Mooney's 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

January 17, 2012 - Present

WILLIAMS TRADING LLC

Office #1: 450 Post Road East Suite 120, Westport, CT 06880
BD
CRD#: 43678
Westport, CT
Past

September 13, 2010 - January 18, 2012

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
NEW YORK, NY
Past

February 18, 2009 - February 19, 2009

SMITH CAPITAL MARKETS, LLC.

BD
CRD#: 121430
DALLAS, TX
Past

April 1, 2004 - November 8, 2010

WILLIAMS TRADING LLC

BD
CRD#: 43678
STAMFORD, CT
Past

August 13, 2003 - April 6, 2004

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
ATLANTA, GA
Past

October 9, 2000 - August 20, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 16, 1998 - July 27, 1999

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(9/7/2023)
RR
Arizona
(6/14/2018)
RR
California
(1/17/2012)
RR
Colorado
(1/17/2012)
RR
Connecticut
(1/17/2012)
RR
Delaware
(6/14/2018)
RR
Florida
(1/17/2012)
RR
Georgia
(1/17/2012)
RR
Illinois
(1/17/2012)
RR
Indiana
(6/25/2018)
RR
Kansas
(7/18/2018)
RR
Maryland
(1/17/2012)
RR
Massachusetts
(1/17/2012)
RR
Michigan
(6/22/2018)
RR
Minnesota
(6/14/2018)
RR
New Jersey
(1/17/2012)
RR
New York
(1/17/2012)
RR
North Carolina
(7/21/2017)
RR
Ohio
(6/15/2018)
RR
Oklahoma
(6/14/2018)
RR
Oregon
(7/18/2018)
RR
Pennsylvania
(1/17/2012)
RR
Puerto Rico
(4/4/2024)
RR
Rhode Island
(2/1/2018)
RR
South Carolina
(6/14/2018)
RR
Texas
(1/17/2012)
RR
Utah
(3/8/2024)
RR
Virginia
(7/21/2017)
RR
Washington
(1/17/2012)
RR
Wisconsin
(6/14/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 8/24/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 2/26/2025
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/5/2004
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/14/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/26/2007
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/27/2004
Registered Options Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

WT
WILLIAMS TRADING LLC
WILLIAMS TRADING LLC

CRD#: 43678 / SEC#: , 8-50372

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
450 Post Road East Suite 120, Westport, CT 06880
Mailing Address
450 Post Road East Suite 120, Westport, CT 06880
Phone number
(203) 353-7600
Established
Connecticut since 12/31/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (31 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
WILLIAMS, DAVID BREWSTERMANAGING MEMBER/GENERAL SECURITIES PRINCIPAL1715713
GOERTZ, JOSEPH THOMASCHIEF COMPLIANCE OFFICER/DIRECTOR OF OPERATIONS5607738
MARCIANO, LANCE DANIELCHIEF OPERATING OFFICER2261020
MOONEY, MATTHEW BRIANREGISTERED OPTIONS PRINCIPAL3100953
MOROVATI, BABAK BOBBYCFO/FINANCIAL OPERATIONS PRINCIPAL/PFO/POO5650049

Disclosures

Regulatory Event1

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

WILLIAMS TRADING LLC

CRD#: 43678Westport, CT 06880

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