Matthew M. Smith
Professional summary
Matthew M. Smith, who also goes by Matt Malcolm Smith, Matthew Malcolm Smith, Matthew Smith, is a registered financial professional currently at J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. located in Chicago, Illinois.
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 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Matthew M. Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 20, 2012 - Present
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
Office #1: 10 South Dearborn, Chicago, IL 60603February 7, 2011 - December 31, 2011
JOHN HANCOCK DISTRIBUTORS LLC
October 9, 2009 - January 12, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
September 22, 2009 - January 12, 2011
UVEST FINANCIAL SERVICES GROUP, 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
(6/24/2020)
(1/2/2015)
(1/13/2015)
(1/2/2015)
(1/2/2015)
Exams
FINRA
Current Firm
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
Red Flags
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