Matthew David Ross
Professional Summary
Matthew David Ross, who also goes by Matthew D. Ross, is a registered financial advisor currently at ROC GLOBAL LLC located in New York, New York. Matthew is registered as a RR (Registered Representative) and started their career in finance in 2020. Matthew has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Matthew D. Ross
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
6 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
ROC GLOBAL LLC | ROC GLOBAL SECURITIES LLC
Contact Information
Main Address
535 Fifth Avenue 4th Floor, New York, NY 10017Mailing Address
535 Fifth Avenue 4th Floor, New York, NY 10017Phone Number
(646) 218-9841Established
Connecticut since 06/12/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (5 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(10/14/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jun 2020About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Matthew David Ross's CRS (Customer Relationship Summary).
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