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MJ

Matthew G. Johnson

UBS FUND SERVICES (USA) LLC
Hartford, CT 06103-3604
Some features on this profile are disabled
CRD#: 3273404
MJ

Professional summary

Matthew Gerard Johnson, who also goes by Matthew G Johnson, is a registered financial professional currently at UBS FUND SERVICES (USA) LLC located in Hartford, Connecticut.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2009. Matthew has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Matthew G Johnson

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 Gerard Johnson'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

August 2, 2021 - Present

UBS FUND SERVICES (USA) LLC

Office #1: 10 State House Square 12th Floor, Hartford, CT, 06103-3604
BD
CRD#: 41848
Hartford, CT
Past

July 27, 2009 - August 5, 2021

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
CHICAGO, IL

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
Connecticut
(11/4/2021)
RR
Illinois
(11/4/2021)
RR
New York
(8/2/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 11/20/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/24/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

UF
UBS FUND SERVICES (USA) LLC
ALLEGIS CAPITAL LLC | UBS FUND SERVICES (USA) LLC | UBS ASSET MANAGEMENT, REAL ESTATE - US

CRD#: 41848 / SEC#: , 8-49596

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

Main Address
10 State House Square 12th Floor, Hartford, CT, 06103-3604
Mailing Address
10 State House Square 12th Floor, Hartford, CT, 06103-3604
Phone number
(860) 616-9000
Established
Delaware since 06/30/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
UBS REALTY INVESTORS LLCMEMBER
HORAN, KATHLEEN ELIZABETHFINOP/CFO5188874
KAPILOFF, STEVEN MARKGENERAL COUNSEL/SECRETARY6363927
O'SHEA, THOMAS JAMESPRESIDENT/CEO4803329
PILE, NICHOLAS SIMONCHIEF COMPLIANCE OFFICER2727759

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

UBS FUND SERVICES (USA) LLC

CRD#: 41848Hartford, CT 06103-3604

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