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SM

Shayne A. Matthis

PINE DISTRIBUTORS LLC
NEW YORK, NY 10019
Some features on this profile are disabled
CRD#: 6778841
SM

Professional summary

Shayne A Matthis, who also goes by Shayne A Matthis, Shayne A. Matthis, Shayne Matthis, is a registered financial professional currently at PINE DISTRIBUTORS LLC located in New York, New York.

Shayne is registered as a RR (Registered Representative) and started their career in finance in 2017. Shayne has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 34 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shayne A Matthis | Shayne A. Matthis | Shayne Matthis

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 Shayne A Matthis'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

January 3, 2025 - Present

PINE DISTRIBUTORS LLC

Office #1: 1633 Broadway Floor 48, New York, NY 10019
BD
CRD#: 323408
NEW YORK, NY
Past

January 8, 2021 - October 2, 2024

NUVEEN ASSET MANAGEMENT, LLC

RIA
CRD#: 155584
CHICAGO, IL
Past

December 7, 2020 - October 2, 2024

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

May 15, 2017 - November 17, 2020

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
CHICAGO, IL

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
Illinois
(1/3/2025)
RR
Indiana
(1/3/2025)
RR
Michigan
(1/3/2025)
RR
Minnesota
(1/3/2025)
RR
New York
(1/3/2025)
RR
North Dakota
(1/3/2025)
RR
Ohio
(1/6/2025)
RR
South Carolina
(1/3/2025)
RR
South Dakota
(1/3/2025)
RR
Wisconsin
(1/3/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/8/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/31/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/13/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 34
Date: 9/14/2015
Retail Off-Exchange FOREX Examination
General Industry/Product Exam
RR
Series 3
Date: 7/27/2015
National Commodity Futures Examination
SRO Registrations
RR
FINRA

Current Firm

PD
PINE DISTRIBUTORS LLC
PINE DISTRIBUTORS LLC

CRD#: 323408 / SEC#: , 8-71004

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

Main Address
501 S. Cherry Street Suite 610, Denver, CO 80246
Mailing Address
501 S. Cherry Street Suite 610, Denver, CO 80246
Phone number
(720) 651-8092
Established
Delaware since 08/30/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
PINE ADVISOR SOLUTIONS LLCMEMBER
FAIRBANKS, MARK ALANPRESIDENT1847318
LEVESQUE, DARYNCOO6482085
MOSCARITOLO, SUSAN KALLAICCO2618909
WAGSTAFF, CONNER FRED IIIFINOP1427591
WOODCOCK, ALEXANDER JAMESPFO6454017

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

PINE DISTRIBUTORS LLC

CRD#: 323408New York, NY 10019

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