Matthew J. Brotman

JONESTRADING

New York, NY 10013

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CRD#: 6202996

Professional summary

Matthew Jacob Brotman, who also goes by Matthew Brotman, is a registered financial professional currently at JONESTRADING located in New York, New York.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2014. Matthew has worked at 3 firms and has passed the Series 63, SIE, Series 79, Series 87, Series 86 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Matthew Brotman

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 Jacob Brotman'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

June 1, 2018 - Present

JONESTRADING

Office #1: 325 Hudson St 6th Floor, New York, NY, 10013

CRD#: 6888

New York, NY

Past

March 20, 2017 - June 13, 2018

B. RILEY SECURITIES, INC.

CRD#: 25027

NEW YORK, NY

Past

September 1, 2015 - March 10, 2017

B. RILEY SECURITIES, INC.

CRD#: 25027

NEW YORK, NY

Past

July 22, 2014 - September 2, 2015

MLV & CO. LLC

CRD#: 150959

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New Jersey
(11/5/2024)

New York
(6/1/2018)

Exams

State Security Law Exam

Series 63

Date: 8/21/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 4/11/2017

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 87

Date: 11/6/2014

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 10/2/2014

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 7/22/2014

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

JONESTRADING

JONES & ASSOCIATES, INC. | JONESTRADING INSTITUTIONAL SERVICES LLC | JONESTRADING | JONES INSTITUTIONAL TRADING SERVICES, INC.

CRD#: 6888 / SEC#: , 8-26089

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

555 Saint Charles Drive Suite #200, Thousand Oaks, CA 91360

Mailing Address

555 Saint Charles Drive, Thousand Oaks, CA 91360

Phone number

(818) 991-5500

Established

Delaware since 08/15/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
JONES & ASSOCIATES, INC.	HOLDING COMPANY
BELL, JEREMY DAVID	CCO	4498676
CHMIELEWSKI, STEVEN ANDREW	DIRECTOR	2066307
COHEN, SHLOMO	DIRECTOR	2877188
COOK, BURKE MCCLAIN	CORPORATE SECRETARY / LEGAL COUNSEL	4863190
HILL, ALAN FINBAR	CEO / DIRECTOR	5182098
KIRSCH, WILLIAM TANNER	DIRECTOR	5428522
LEVEEN, JEFFREY EARLE JR	DIRECTOR	2919172
MICSKY, JEFFREY A	DIRECTOR	4820920
ONEIL, TIMOTHY DAWSON	EXECUTIVE CHAIRMAN	2355507
TESORO, ANTHONY JAMES	DIRECTOR
TESORO, PHILLIP JAMES	DIRECTOR	2009378
WONG, JEFFREY RYAN	FINANCIAL AND OPERATIONS PRINCIPAL	4428807

Disclosures

Regulatory Event

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.

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Matthew J. Brotman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Matthew Jacob Brotman's CRS (Customer Relationship Summary).

Certified licenses

Experience

B. RILEY SECURITIES, INC.

B. RILEY SECURITIES, INC.

MLV & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/21/2014

SIE

Date: 10/1/2018

Series 79

Date: 4/11/2017

Series 87

Date: 11/6/2014

Series 86

Date: 10/2/2014

Series 7

Date: 7/22/2014

FINRA

Nasdaq Stock Market

Current Firm

JONESTRADING

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

JONESTRADING

TRUST BUT VERIFY

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