Matthew J. Brown
Professional summary
Matthew Jonathan Brown, who also goes by Matthew J Brown, is a registered financial professional currently at CETERA ADVISORS LLC located in Greenwood Village, Colorado and CETERA INVESTMENT SERVICES LLC located in Greenwood Village, Colorado.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 2011. Matthew has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Matthew Jonathan Brown's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 2019 - Present
CETERA ADVISORS LLC
Office #1: 5299 Dtc Blvd #800, Greenwood Village, CO 80111July 14, 2021 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 5299 Dtc Blvd #800, Greenwood Village, CO 80111July 14, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5299 Dtc Blvd #800, Greenwood Village, CO 80111July 14, 2021 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 5299 Dtc Blvd #800, Greenwood Village, CO 80111March 21, 2024 - December 31, 2024
CETERA INVESTMENT ADVISERS LLC
July 14, 2021 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
January 3, 2019 - March 21, 2024
CETERA ADVISORS LLC
June 20, 2014 - November 29, 2018
CUNA BROKERAGE SERVICES, INC.
June 20, 2014 - November 29, 2018
CUNA BROKERAGE SERVICES, INC.
January 28, 2013 - March 28, 2014
CHARLES SCHWAB & CO., INC.
September 29, 2011 - March 28, 2014
CHARLES SCHWAB & CO., 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
(1/2/2019)
(1/2/2019)
Exams
FINRA
Current Firm
CETERA FINANCIAL SPECIALISTS LLC
CRD#: 10358 / SEC#: , 8-27082
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BANKS, ELAYNE CAMILLE | VICE PRESIDENT | 3070202 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| KRUEGER, RONALD GEORGE | MANAGER, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 2651416 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| ROTHENBERG, JON HOWARD | VICE PRESIDENT | 2737327 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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.
