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MATHEW JAMES RUSTAD
MATTHEW J RUSTAD
CRD#: 2964893
IA
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UBS FINANCIAL SERVICES INC.CRD#: 8174 51 BROADWAY
FARGO, ND 58102-4970
FARGO, ND 58102-4970
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Disclosures
27
Years of Experience
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State Registrations
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Arizona 11/6/2013
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Nebraska 6/9/2022
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California 11/4/2024
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Nevada 1/4/2013
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Colorado 4/28/2016
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New Jersey 1/19/2024
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Delaware 12/14/2023
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New Mexico 11/4/2024
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Florida 10/19/2011
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New York 4/28/2016
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Florida 10/28/2021
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North Carolina 1/26/2024
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Georgia 11/4/2024
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North Dakota 2/26/2009
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Hawaii 10/28/2022
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North Dakota 3/3/2009
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Idaho 3/1/2023
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Ohio 1/19/2024
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Illinois 11/9/2022
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Oregon 3/28/2024
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Indiana 2/28/2024
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Pennsylvania 3/4/2019
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Iowa 3/1/2021
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South Carolina 11/4/2024
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Kansas 6/3/2016
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South Dakota 11/19/2021
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Kentucky 8/12/2020
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Texas 2/26/2009
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Massachusetts 3/4/2019
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Texas 4/28/2016
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Michigan 11/4/2024
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Utah 4/7/2021
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Minnesota 2/26/2009
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Utah 2/8/2022
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Minnesota 10/19/2021
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Washington 10/18/2021
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Montana 8/20/2020
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Wisconsin 2/26/2009
SRO Registrations
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Registered with this firm since 2/26/2009
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Registered with this firm since 2/26/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/23/2001 - 02/27/2009 | FARGO, ND | |
B | 12/10/1997 - 02/27/2009 | FARGO, ND |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.