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Matthew L Mowles
MATT MOWLES, MATTHEW LEWIS MOWLES
CRD#: 5461214
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 110 FRANKLIN RD SE
ROANOKE, VA 24011
ROANOKE, VA 24011
0
Disclosures
16
Years of Experience
View By:
State Registrations
B
Alabama 3/23/2023
B
Tennessee 3/23/2023
B
Georgia 3/23/2023
B
Virginia 11/3/2022
B
Kentucky 3/23/2023
IA
Virginia 11/3/2022
B
North Carolina 3/23/2023
B
West Virginia 3/23/2023
B
South Carolina 3/23/2023
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 11/3/2022
B
Registered with this firm since 11/3/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/31/2022 - 09/28/2022 | ROANOKE, VA | |
B | 09/06/2022 - 09/28/2022 | ROANOKE, VA | |
IA | 09/05/2014 - 05/06/2022 | ROANOKE, VA | |
B | 09/05/2014 - 05/06/2022 | ROANOKE, VA | |
IA | 01/03/2012 - 09/11/2014 | ROANOKE, VA | |
B | 01/03/2012 - 09/11/2014 | ROANOKE, VA | |
IA | 05/16/2008 - 11/30/2011 | ROANOKE, VA | |
B | 05/01/2008 - 11/30/2011 | ROANOKE, VA | |
IA | 03/13/2008 - 05/13/2008 | ST. LOUIS, MO | |
B | 02/18/2008 - 05/13/2008 | ST. LOUIS, MO |
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B
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.