Robert MatthewsCRD Number: 1008604
Current Firm: Fieldpoint Private Securities LLC
Robert Matthews (CRD# 1008604) is an Investment Advisor Representative working at Fieldpoint Private Securities LLC in New York, NY and has over 36 years of experience in the finance industry.
Cfs Investment Advisory Services LLC
Legacy Care Wealth, LLC
|Fieldpoint Securities, LLC||Greenwich, CT||Feb 2011 - Current||6|
|Fieldpoint Private Bank & Trust||Greenwich, Ct, CT||Jul 2010 - Current||7|
|Rsm Consulting||Scarsdale, NY||Sep 2009 - Jul 2010||< 1|
|Aquiline||New York, NY||Jan 2009 - Aug 2009||< 1|
|Rsm Consulting||Scarsdale, NY||Aug 2008 - Jan 2009||< 1|
|Citigroup Global Markets Inc.||New York, NY||Jul 1993 - Aug 2008||15|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1981|
|S65||NASAA Investment Advisors Law Examination||Jun 1992|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management1,918MILLIONS
Total Number of Accounts2,667ACCOUNTS
Average Account Value$719,102
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
AZ, CA, CT, FL, IL, MD, MN, MO, NC, NH, NJ, NM, NY, PA, TX, VA
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