Matthew B. Mcconaty
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 Brady Mcconaty, who also goes by Matthew Mcconaty, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2008. Matthew had worked at 3 firms and has passed the Series 66, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2012 - February 11, 2013
W.G. NIELSEN & CO.
July 23, 2009 - November 21, 2011
LPL FINANCIAL LLC
July 23, 2009 - November 21, 2011
LPL FINANCIAL LLC
October 2, 2008 - May 13, 2009
UBS FINANCIAL SERVICES INC.
September 9, 2008 - May 13, 2009
UBS FINANCIAL SERVICES 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
Exams
Current Firm
W.G. NIELSEN & CO.
CRD#: 41093 / SEC#: , 8-49316
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
