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MH

Matthew Holbrook

REGIONS SECURITIES LLC
Charlotte, NC 28202
Some features on this profile are disabled
CRD#: 3208172
MH

Professional summary

Matthew Holbrook, who also goes by Matt Holbrook, Matthew Owen Holbrook, is a registered financial professional currently at REGIONS SECURITIES LLC located in Charlotte, North Carolina.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2004. Matthew has worked at 5 firms and has passed the Series 63, Series 65, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Matt Holbrook | Matthew Owen Holbrook

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 Holbrook'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

June 25, 2025 - Present

REGIONS SECURITIES LLC

Office #1: 615 South College Street, Charlotte, NC 28202
BD
CRD#: 159475
Charlotte, NC
Past

March 27, 2017 - June 27, 2025

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
CHARLOTTE, NC
Past

May 9, 2014 - January 17, 2017

TRUIST SECURITIES, INC.

BD
CRD#: 6271
ATLANTA, GA
Past

November 1, 2010 - April 29, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHARLOTTE, NC
Past

October 15, 2004 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
CHARLOTTE, NC

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
(6/25/2025)
RR
Arkansas
(6/25/2025)
RR
Florida
(6/25/2025)
RR
Georgia
(6/25/2025)
RR
Illinois
(6/25/2025)
RR
Indiana
(6/25/2025)
RR
Iowa
(6/25/2025)
RR
Kentucky
(6/25/2025)
RR
Louisiana
(6/25/2025)
RR
Mississippi
(6/25/2025)
RR
Missouri
(6/25/2025)
RR
North Carolina
(6/25/2025)
RR
South Carolina
(6/25/2025)
RR
Tennessee
(6/25/2025)
RR
Texas
(6/25/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 12/15/2004
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/30/1999
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/14/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/17/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RS
REGIONS SECURITIES LLC
REGIONS SECURITIES | REGIONS SECURITIES LLC

CRD#: 159475 / SEC#: , 8-68990

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

Main Address
1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309
Mailing Address
1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309
Phone number
(404) 279-7400
Established
Delaware since 10/12/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
RFC FINANCIAL SERVICES HOLDING LLCPARENT
AMIN, RITVIG NIPENDRACHAIRMAN OF THE BOARD & DIRECTOR2901218
GIARDINO, NEILCEO, PRESIDENT AND DIRECTOR2428962
HOLLOWAY, GLENN CHRISTOPHERFINOP, CFO, PFO, POO & DIRECTOR4566759
MAGGIORE, JILL WRIGHTCHIEF COMPLIANCE OFFICER & DIRECTOR1001068
MAXWELL, JASON MATTHEWCHIEF LEGAL OFFICER & DIRECTOR5997125

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

REGIONS SECURITIES LLC

CRD#: 159475Charlotte, NC 28202

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