Matthew P. Howlett
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 Philip Howlett was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2004. Matthew had worked at 6 firms and has passed the Series 63, Series 86, Series 87, Series 7 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2021 - January 10, 2025
B. RILEY SECURITIES, INC.
September 9, 2020 - March 31, 2021
WOLFE RESEARCH SECURITIES
October 15, 2018 - August 6, 2020
INSTINET, LLC
November 7, 2012 - June 21, 2016
UBS SECURITIES LLC
December 1, 2009 - August 3, 2012
MACQUARIE CAPITAL (USA) INC.
December 15, 2004 - December 1, 2009
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
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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