Matthew C. Huxtable
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Matthew Craig Huxtable, who also goes by Matt Craig Huxtable, Matthew C Huxtable, Matthew Huxtable, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2000. Matthew had worked at 15 firms and has passed the Series 65, Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2023 - February 14, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
June 7, 2023 - February 14, 2025
FIDELITY BROKERAGE SERVICES LLC
September 13, 2022 - March 17, 2023
EMPOWER FINANCIAL SERVICES, INC.
February 23, 2021 - February 25, 2022
PRINCIPAL SECURITIES, INC.
February 12, 2021 - February 25, 2022
PRINCIPAL SECURITIES, INC.
March 30, 2016 - January 6, 2021
MISSIONSQUARE RETIREMENT
March 30, 2016 - January 6, 2021
MISSIONSQUARE INVESTMENT SERVICES
June 5, 2014 - May 14, 2015
SII INVESTMENTS, INC.
June 5, 2014 - May 14, 2015
SII INVESTMENTS, INC.
June 25, 2013 - February 6, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 25, 2013 - February 6, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 1, 2012 - August 14, 2012
BMO HARRIS FINANCIAL ADVISORS, INC.
June 15, 2010 - February 15, 2012
M&I INVESTMENT MANAGEMENT CORP.
March 17, 2010 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
September 10, 2009 - November 2, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 2006 - August 29, 2007
STRATEGIC ADVISERS LLC
July 25, 2005 - July 23, 2009
FIDELITY BROKERAGE SERVICES LLC
January 23, 2001 - July 11, 2005
WELLS FARGO INVESTMENTS, LLC
April 24, 2000 - December 21, 2000
MORGAN STANLEY DW 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
Exams
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
