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Information

Firm:
Type: Dual Registration
Description

Matthew Nance is a financial professional at UBS Financial Services Inc., a broker-dealer with over 12,600 registered representatives nationwide. Matthew has held an industry securities registration for 8 years and is subject to SEC and FINRA oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Matthew Edward Nance has not answered any questions on Financial Q&A.

Top Guides

Matthew Edward Nance has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
UBS Financial Services Inc. 6 years Apr 2008 - Present
Bear, Stearns & Co. Inc. 5 years, 9 months Jul 2002 - Apr 2008
Financial Advisor 16 years, 3 months Jan 1998 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 06/03/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
06/03/2013
11/05/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Combined State Law Examination Series 66 11/19/2002
General Securities Representative Examination Series 7 09/16/2002
Uniform Securities Agent State Law Examination Series 63 08/09/1993

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions
  • Other: SEE SCHEDULE D - MISCELLANEOUS