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MH

Matthew H. Hoban

LUCID CAPITAL MARKETS
New York, NY 10022
Some features on this profile are disabled
CRD#: 5368878
MH

Professional summary

Matthew Harrison Hoban, who also goes by Matthew Hoban, is a registered financial professional currently at LUCID CAPITAL MARKETS, 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 9 firms and has passed the Series 66, Series 99TO, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Matthew Hoban

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 Harrison Hoban'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

August 28, 2024 - Present

LUCID CAPITAL MARKETS, LLC

Office #1: 570 Lexington Avenue 40th Fl., New York, NY 10022
BD
CRD#: 140345
New York, NY
Past

March 7, 2022 - December 16, 2022

BTIG, LLC

BD
CRD#: 122225
BOSTON, MA
Past

May 23, 2019 - March 7, 2022

ARCADIA SECURITIES, LLC

BD
CRD#: 44656
New York, NY
Past

May 8, 2018 - May 25, 2019

CIM SECURITIES, LLC

BD
CRD#: 120852
New York, NY
Past

March 27, 2015 - June 19, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEWTON, MA
Past

February 12, 2015 - June 19, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEWTON, MA
Past

February 20, 2014 - January 2, 2015

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
WELLESLEY, MA
Past

September 27, 2011 - January 11, 2013

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

May 20, 2009 - March 18, 2011

J.P. MORGAN CLEARING CORP.

BD
CRD#: 28432
BROOKLYN, NY
Past

April 7, 2009 - March 18, 2011

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
BROOKLYN, 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
Arizona
(8/28/2024)
RR
California
(8/28/2024)
RR
Colorado
(8/28/2024)
RR
Connecticut
(8/28/2024)
RR
Delaware
(8/28/2024)
RR
District of Columbia
(8/28/2024)
RR
Florida
(8/28/2024)
RR
Illinois
(8/28/2024)
RR
Louisiana
(8/28/2024)
RR
Maryland
(8/28/2024)
RR
Massachusetts
(8/28/2024)
RR
Michigan
(8/28/2024)
RR
Nevada
(8/28/2024)
RR
New Jersey
(8/28/2024)
RR
New York
(8/28/2024)
RR
North Carolina
(8/28/2024)
RR
Ohio
(8/28/2024)
RR
Pennsylvania
(8/28/2024)
RR
South Carolina
(8/28/2024)
RR
Texas
(8/28/2024)
RR
Vermont
(8/28/2024)
RR
Virgin Islands
(8/28/2024)
RR
Virginia
(8/28/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/26/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 10/24/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/6/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

LC
LUCID CAPITAL MARKETS, LLC
AMERICAS EXECUTIONS | SURKIS, BARRY NMN | SURKIS, BARRY | SURKIS INCORPORATED | LUCID CAPITAL MARKETS, LLC | LUCID CAPITAL MARKETS LLC. | LUCID CAPITAL MARKETS | AMERX | AMERICAS EXECUTIONS, LLC | AMERICAS EXECUTIONS, INC.

CRD#: 140345 / SEC#: , 8-67305

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

Main Address
New York Stock Exchange 11 Wall Street Pod-p, New York, NY 10005
Mailing Address
C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038
Phone number
(212) 306-2700
Established
New York since 06/15/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GI4 HOLDINGS, LLCSOLE PROPRIETOR
IANNONE, JOHN VINCENT JR.CHIEF FINANCIAL OFFICER AND OPERATIONS PRINCIPAL1616912
SHAPIRO, ANDREW JAYCHIEF COMPLIANCE OFFICER1104658
TANIOS, FADYCEO4213894
YANNOTTI, ALEXANDER ANTHONYFINANCIAL OPERATIONS PRINCIPAL1333893

Disclosures

Regulatory Event1

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

LUCID CAPITAL MARKETS, LLC

CRD#: 140345New York, NY 10022

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