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MR

Matthew A. Rinaldi

MONTEC SECURITIES LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 5151015
MR

Professional summary

Matthew A Rinaldi, who also goes by Matthew Anthony Rinaldi, Matthew Rinaldi, is a registered financial professional currently at MONTEC SECURITIES LLC located in New York, New York.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2009. Matthew has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Matthew Anthony Rinaldi | Matthew Rinaldi

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Matthew A Rinaldi's 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

April 27, 2021 - Present

MONTEC SECURITIES LLC

Office #1: 510 Madison Avenue 9th Floor, New York, NY 10022
BD
CRD#: 309706
New York, NY
Past

May 10, 2019 - October 12, 2020

BOFA SECURITIES, INC.

BD
CRD#: 283942
NEW YORK, NY
Past

August 11, 2009 - May 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(5/11/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 12/8/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/10/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MONTEC SECURITIES LLC
MONTEC SECURITIES LLC

CRD#: 309706 / SEC#: , 8-70553

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
510 Madison Avenue 9th Floor, New York, NY 10022
Mailing Address
510 Madison Avenue 9th Floor, New York, NY 10022
Phone number
(646) 874-5471
Established
Delaware since 05/26/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MONTEC SECURITIES FUNDING LLCMEMBER
AMSTER, DAVID JEFFREYCHIEF COMPLIANCE OFFICER2315254
BARNETT, MARK JASONMANAGER6511962
PERRY, RANIA CHRISTINECHIEF EXECUTIVE OFFICER7795182
WILSON, CHARLENE FAITHFINOP1935747

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.

Company Information

MONTEC SECURITIES LLC

CRD#: 309706New York, NY 10022

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