Matthew R. Rossi
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 Robert Rossi, CFP®, who also goes by Matthew R Rossi, Matthew Robert Rossi, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2000. Matthew had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 79, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2023 - September 22, 2025
CITIZENS JMP SECURITIES, LLC
June 4, 2019 - August 1, 2023
CITIZENS CAPITAL MARKETS
January 2, 2018 - March 18, 2019
BB&T SECURITIES, LLC
January 2, 2018 - March 18, 2019
BB&T SECURITIES, LLC
March 16, 2017 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
March 16, 2017 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
April 9, 2015 - March 28, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 6, 2015 - March 28, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 22, 2012 - November 13, 2014
STRUCTURED ASSET INVESTORS, LLC
February 17, 2011 - December 6, 2013
WELLS FARGO SECURITIES, LLC
July 29, 2010 - February 11, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 31, 2006 - April 22, 2009
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 6, 2005 - February 11, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 19, 2002 - April 30, 2004
BB&T INVESTMENT SERVICES, INC.
December 5, 2000 - August 30, 2001
BANC OF AMERICA INVESTMENT SERVICES, 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
CITIZENS JMP SECURITIES, LLC
CRD#: 22208 / SEC#: , 8-39613
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JMP HOLDING LLC | PARENT COMPANY | |
| CONROY, WALTER IVOR | GENERAL COUNSEL | 6641487 |
| GREGORY, JOHN | PRESIDENT | 4600619 |
| JACKSON, RAYMOND SIVA | CHIEF FINANCIAL OFFICER | 5563363 |
| MANNING, SIMON STONE | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP) | 1941279 |
| MCLAUGHLIN, BRENDAN | CHIEF COMPLIANCE OFFICER | 2562815 |
| O'DAY, JAMES CORTLAND | HEAD OF EQUITIES | 5618215 |
| SLADER, GAVIN WILLEY | HEAD OF INVESTMENT BANKING | 4130019 |
| SPURR, JEFFREY HOLMES | HEAD OF RESEARCH | 1384716 |
| SUCHY, GREGORY JOHN | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 5907019 |
| WHITEHEAD, AIDAN PETER | HEAD OF TRADING & SALES TRADING | 2474257 |
| XIAO, ZHUO VIVIAN XUAN | FINOP | 5121578 |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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