Matthew K. Yannotta
Professional summary
Matthew Keith Yannotta is a registered financial professional currently at STONEX FINANCIAL INC. located in Denver, Colorado.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 2001. Matthew has worked at 4 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Matthew Keith Yannotta's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 20, 2015 - Present
STONEX FINANCIAL INC.
June 10, 2014 - May 26, 2015
NEWBRIDGE SECURITIES CORPORATION
March 3, 2009 - May 22, 2014
NEWBRIDGE SECURITIES CORPORATION
January 1, 2008 - March 11, 2009
WELLS FARGO CLEARING SERVICES, LLC
May 21, 2001 - January 3, 2008
A. G. EDWARDS & SONS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/20/2015)
(2/14/2023)
(2/14/2023)
(2/14/2023)
(2/14/2023)
(2/14/2023)
(5/20/2015)
(2/15/2023)
(2/14/2023)
(2/14/2023)
(2/14/2023)
(2/14/2023)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
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.
