MS
Matthew E. Stemper
HOULIHAN LOKEY CAPITAL
CHICAGO, IL 60606
CRD#: 6998507
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MS
Matthew Edward StemperHOULIHAN LOKEY CAPITAL
Professional summary
Matthew Edward Stemper is a registered financial professional currently at HOULIHAN LOKEY CAPITAL, INC. located in Chicago, Illinois and KEEFE, BRUYETTE & WOODS, INC. located in Chicago, Illinois.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 2021. Matthew has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Matthew Edward Stemper'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®
NoneExperience
Current
June 18, 2025 - Present
HOULIHAN LOKEY CAPITAL, INC.
Office #1: 111 South Wacker Drive 37th Floor, Chicago, IL 60606BD
CRD#: 17708
CHICAGO, IL
Current
June 24, 2026 - Present
KEEFE, BRUYETTE & WOODS, INC.
Office #1: One North Wacker Drive, Chicago, IL 60606BD
CRD#: 481
CHICAGO, IL
Past
September 13, 2021 - May 7, 2025
KEEFE, BRUYETTE & WOODS, INC.
BD
CRD#: 481
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
Alabama(6/24/2026)
RR
Alaska(6/24/2026)
RR
Arizona(6/24/2026)
RR
Arkansas(6/24/2026)
RR
California(6/24/2026)
RR
Colorado(6/24/2026)
RR
Connecticut(6/24/2026)
RR
Delaware(6/24/2026)
RR
District of Columbia(6/24/2026)
RR
Florida(6/24/2026)
RR
Georgia(6/24/2026)
RR
Hawaii(6/24/2026)
RR
Idaho(6/24/2026)
RR
Illinois(6/18/2025)
RR
Indiana(6/24/2026)
RR
Iowa(6/24/2026)
RR
Kansas(6/24/2026)
RR
Kentucky(6/24/2026)
RR
Louisiana(6/24/2026)
RR
Maine(6/24/2026)
RR
Maryland(6/24/2026)
RR
Massachusetts(6/24/2026)
RR
Michigan(6/24/2026)
RR
Minnesota(6/24/2026)
RR
Mississippi(6/24/2026)
RR
Missouri(6/24/2026)
RR
Montana(6/24/2026)
RR
Nebraska(6/24/2026)
RR
Nevada(6/24/2026)
RR
New Hampshire(6/24/2026)
RR
New Jersey(6/24/2026)
RR
New Mexico(6/24/2026)
RR
New York(6/24/2026)
RR
North Carolina(6/24/2026)
RR
North Dakota(6/24/2026)
RR
Oklahoma(6/24/2026)
RR
Oregon(6/24/2026)
RR
Pennsylvania(6/24/2026)
RR
Puerto Rico(6/24/2026)
RR
Rhode Island(6/24/2026)
RR
South Carolina(6/24/2026)
RR
South Dakota(6/24/2026)
RR
Tennessee(6/24/2026)
RR
Texas(6/24/2026)
RR
Utah(6/24/2026)
RR
Vermont(6/24/2026)
RR
Virginia(6/24/2026)
RR
Washington(6/24/2026)
RR
West Virginia(6/24/2026)
RR
Wisconsin(6/24/2026)
RR
Wyoming(6/24/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 9/13/2021
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KEEFE, BRUYETTE & WOODS, INC.
KEEFE, BRUYETTE & WOODS, INC.
CRD#: 481 / SEC#: , 8-10888
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
787 7th Avenue, New York, NY 10019
Mailing Address
787 7th Avenue 4th Floor, New York, NY 10019
Phone number
(212) 887-7777
Established
New York since 06/11/1962
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KBW, LLC | LIMITED LIABILITTY CORPORATION | |
| ANDERSON, SCOTT RANDALL | DIRECTOR | 2154345 |
| BERRY, JOSEPH SCOTT | DIRECTOR | 2868513 |
| DAVIS, ERICKSON P | DIRECTOR | 4974063 |
| FISHER, MARK | GENERAL COUNSEL | 4970942 |
| GRANT, ROBERT J | DIRECTOR | 4861012 |
| JOHNSTONE, MARY | CHIEF COMPLIANCE OFFICER | 1170408 |
| KELLEY, MATTHEW | DIRECTOR | 5330646 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| MICHAUD, THOMAS BEAULIEU | CHIEF EXECUTIVE OFFICER, CHAIRMAN AND PRESIDENT | 1672278 |
| SMITH, RICHARD WILLIAM | PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 1333488 |
| WIRTH, PETER JOHN | DIRECTOR | 1623159 |
Disclosures
| Regulatory Event | 17 |
| Bond | 1 |
Red Flags
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