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MATTHEW L MARQUES
MATTHEW LOPES MARQUES
CRD#: 4825942
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE STATE STREET
16TH FLOOR
HARTFORD, CT 06103
Registration History
200620082010201220142016201820202022202420262 FIRMS2023 - Present (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2006 - 2023 (17 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2007 - 2023 (16 years)
License(s)

State Registrations

B
Alaska 11/17/2023

B
New Jersey 11/17/2023

B
California 11/17/2023

B
New York 11/17/2023

B
Connecticut 11/17/2023

B
North Carolina 11/17/2023

IA
Connecticut 11/17/2023

B
Ohio 11/17/2023

B
Delaware 1/4/2024

B
Pennsylvania 11/17/2023

B
District of Columbia 11/17/2023

B
Rhode Island 11/17/2023

B
Florida 11/17/2023

B
South Carolina 11/17/2023

B
Indiana 11/17/2023

B
Tennessee 11/17/2023

B
Kentucky 11/17/2023

B
Texas 11/17/2023

B
Maryland 11/17/2023

IA
Texas 11/17/2023

B
Massachusetts 11/17/2023

B
Vermont 11/17/2023

B
Michigan 2/6/2025

B
Virginia 11/17/2023

B
Minnesota 11/17/2023

B
Wisconsin 11/17/2023

B
New Hampshire 11/17/2023

IA
Wisconsin 4/16/2024

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE STATE STREET 16TH FLOOR, HARTFORD, CT 06103
Registered with this firm since 11/17/2023

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE STATE STREET 16TH FLOOR, HARTFORD, CT 06103
Registered with this firm since 11/17/2023

Previous Registration(s)
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IA
01/10/2007 - 11/21/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HARTFORD, CT
B
10/03/2006 - 11/21/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HARTFORD, CT
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B
Broker
IA
Investment Adviser
Disclosures
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.