Matthew P. Simons
Professional summary
Matthew Patrick Simons is a registered financial advisor currently at NEW YORK LIFE INVESTMENT MANAGEMENT LLC located in Wayne, New Jersey and NYLIFE DISTRIBUTORS LLC located in Basking Ridge, New Jersey.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Matthew has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Patrick Simons's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 13, 2015 - Present
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
April 9, 2015 - Present
NYLIFE DISTRIBUTORS LLC
August 7, 2014 - March 10, 2015
EDWARD JONES
August 7, 2014 - March 10, 2015
EDWARD JONES
March 17, 2014 - May 19, 2014
EDWARD JONES
Primary Firm SEC Registration
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/25/2023)
(4/25/2023)
(4/21/2023)
(4/25/2023)
(4/9/2015)
(10/28/2021)
(4/25/2023)
Exams
FINRA
Current Firm
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,047 |
| AUM (Assets Under Management) | $ 113,162,976,263 |
Red Flags
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