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MATTHEW WILLIAM SAUM
Matthew Saum
CRD#: 6144870
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 660 BEACHLAND BLVD
VERO BEACH, FL 32963
VERO BEACH, FL 32963
0
Disclosures
10
Years of Experience
View By:
State Registrations
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Alabama 8/20/2024
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Nevada 12/6/2019
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Alaska 8/20/2024
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New Hampshire 8/20/2024
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Arizona 8/22/2023
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New Jersey 8/28/2017
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Arkansas 8/20/2024
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New Jersey 8/28/2017
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California 8/28/2017
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New Mexico 8/20/2024
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Colorado 1/23/2019
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New York 8/28/2017
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Connecticut 8/28/2017
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New York 4/19/2021
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Delaware 3/15/2021
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North Carolina 1/18/2024
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District of Columbia 8/22/2023
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North Dakota 8/20/2024
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Florida 8/28/2017
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Ohio 5/4/2022
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Florida 1/4/2021
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Oklahoma 8/20/2024
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Georgia 2/1/2021
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Oregon 8/20/2024
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Hawaii 8/20/2024
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Pennsylvania 5/15/2018
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Idaho 8/20/2024
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Puerto Rico 8/20/2024
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Illinois 8/20/2024
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Rhode Island 3/27/2023
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Indiana 8/20/2024
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South Carolina 8/20/2024
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Iowa 6/6/2023
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South Dakota 8/20/2024
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Kansas 8/20/2024
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Tennessee 8/20/2024
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Kentucky 8/20/2024
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Texas 8/28/2017
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Louisiana 8/20/2024
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Texas 8/28/2017
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Maine 8/20/2024
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Utah 8/20/2024
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Maryland 7/19/2023
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Vermont 8/20/2024
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Massachusetts 8/21/2019
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Virgin Islands 8/20/2024
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Michigan 6/7/2023
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Virginia 8/20/2024
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Minnesota 8/20/2024
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Washington 8/20/2024
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Mississippi 8/20/2024
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West Virginia 7/5/2024
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Missouri 8/20/2024
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Wisconsin 4/28/2021
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Montana 8/20/2024
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Wyoming 8/20/2024
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Nebraska 8/20/2024
SRO Registrations
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IA
Registered with this firm since 8/28/2017
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Registered with this firm since 8/28/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/29/2016 - 08/29/2017 | NEW YORK, NY | |
B | 02/22/2016 - 08/29/2017 | NEW YORK, NY | |
B | 10/15/2015 - 02/12/2016 | NEW YORK, NY | |
B | 07/16/2014 - 09/16/2014 | BOCA RATON, FL | |
B | 02/15/2013 - 07/15/2014 | NEW YORK, NY |
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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.
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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.