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MA

Matthew Avery

REGIONS SECURITIES LLC
Charlotte, NC 28202
Some features on this profile are disabled
CRD#: 5994354
MA

Professional summary

Matthew Avery, who also goes by Matthew C Avery, Matthew Charles Avery, is a registered financial professional currently at REGIONS SECURITIES LLC located in Charlotte, North Carolina.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2011. Matthew has worked at 4 firms and has passed the Series 66, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Matthew C Avery | Matthew Charles Avery

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 Avery'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

February 15, 2019 - Present

REGIONS SECURITIES LLC

Office #1: 615 South College Street, Charlotte, NC 28202
BD
CRD#: 159475
Charlotte, NC
Past

October 2, 2017 - January 25, 2019

TD SECURITIES (USA) LLC

BD
CRD#: 18476
NEW YORK, NY
Past

July 20, 2016 - September 22, 2017

CREDIT SUISSE SECURITIES (USA) LLC

RIA
CRD#: 816
NEW YORK, NY
Past

July 15, 2016 - September 22, 2017

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

January 20, 2012 - December 24, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
VIENNA, VA
Past

December 16, 2011 - December 24, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
VIENNA, VA

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
North Carolina
(2/15/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/19/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/8/2016
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 12/15/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RS
REGIONS SECURITIES LLC
REGIONS SECURITIES | REGIONS SECURITIES LLC

CRD#: 159475 / SEC#: , 8-68990

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

Main Address
1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309
Mailing Address
1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309
Phone number
(404) 279-7400
Established
Delaware since 10/12/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
RFC FINANCIAL SERVICES HOLDING LLCPARENT
AMIN, RITVIG NIPENDRACHAIRMAN OF THE BOARD & DIRECTOR2901218
GIARDINO, NEILCEO, PRESIDENT AND DIRECTOR2428962
HOLLOWAY, GLENN CHRISTOPHERFINOP, CFO, PFO, POO & DIRECTOR4566759
MAGGIORE, JILL WRIGHTCHIEF COMPLIANCE OFFICER & DIRECTOR1001068
MAXWELL, JASON MATTHEWCHIEF LEGAL OFFICER & DIRECTOR5997125

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

REGIONS SECURITIES LLC

CRD#: 159475Charlotte, NC 28202

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