Matthew A. Simpson

WEALTHSPRING CAPITAL LLC

WEST HARRISON, NY 10604

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CRD#: 4715223

Professional summary

Matthew A Simpson, who also goes by Matthew A Simpson, Matthew A. Simpson, Matthew Simpson, is a registered financial advisor currently at WEALTHSPRING CAPITAL LLC located in West Harrison, New York.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Matthew has worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Matthew A Simpson | Matthew A. Simpson | Matthew Simpson

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.

I AM A MEMBER/OWNER OF M&N INVESTMENT PARTNERS LLC. THE ADDRESS IS 35 HAMMOND RIDGE ROAD BEDFORD CORNERS NY 10549. I DIRECT AND MANAGE PRIVATE INVESTMENTS WHICH STARTED IN 12/2011. I SPEND APPROXIMATE 2 - 5 HOURS PER MONTH. NO ACTIVITY IS DEVOTED DURING NORMAL BUSINESS HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew A Simpson'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

June 6, 2019 - Present

WEALTHSPRING CAPITAL LLC

Office #1: 2 Westchester Park Drive Suite 108, West Harrison, NY 10604

RIA

CRD#: 301040

WEST HARRISON, NY

Past

December 20, 2016 - April 27, 2018

MUFG SECURITIES AMERICAS INC.

CRD#: 19685

NEW YORK, NY

Past

July 13, 2015 - December 22, 2016

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

July 9, 2013 - June 16, 2015

MUFG SECURITIES AMERICAS INC.

CRD#: 19685

NEW YORK, NY

Past

October 3, 2011 - December 11, 2012

ROCHDALE CAPITAL MANAGEMENT

RIA

CRD#: 158942

STAMFORD, CT

Past

May 4, 2011 - December 12, 2012

ROCHDALE SECURITIES LLC

CRD#: 6863

STAMFORD, CT

Past

November 24, 2003 - April 27, 2011

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WEALTHSPRING CAPITAL LLC

CRD#: 301040 / SEC#: 801-117460

RIA

Registered Investment Advisory firm - (10/9/2019 Approved)

New York

Registered Investment Advisory firm - (10/22/2019 Terminated)

Texas

Registered Investment Advisory firm - (10/22/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(6/29/2021)

IAR

Texas
(6/6/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/19/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/27/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/27/2004

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/21/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/26/2005

General Securities Principal Examination

Current Firm

WEALTHSPRING CAPITAL LLC

CRD#: 301040 / SEC#: 801-117460

RIA

Registered Investment Advisory firm - (10/9/2019 Approved)

New York

Registered Investment Advisory firm - (10/22/2019 Terminated)

Texas

Registered Investment Advisory firm - (10/22/2019 Terminated)

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Contact information

Main Address

2 Westchester Park Drive Suite 108, West Harrison, NY 10604

Mailing Address

Phone number

(914) 419-2207

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- WEALTHSPRING CAPITAL LLC (3/24/2025)

Regulatory assets under management

Total Number of Accounts	324
AUM (Assets Under Management)	$ 454,865,950

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.

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Advisor Monitoring

Firm Stability Insights

Matthew A. Simpson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew A Simpson's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUFG SECURITIES AMERICAS INC.

HSBC SECURITIES (USA) INC.

MUFG SECURITIES AMERICAS INC.

ROCHDALE CAPITAL MANAGEMENT

ROCHDALE SECURITIES LLC

DEUTSCHE BANK SECURITIES INC.

Primary Firm SEC Registration

WEALTHSPRING CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/19/2003

SIE

Date: 4/27/2018

Series 55

Date: 2/27/2004

Series 7

Date: 11/21/2003

Series 24

Date: 9/26/2005

Current Firm

WEALTHSPRING CAPITAL LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHSPRING CAPITAL LLC

TRUST BUT VERIFY

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