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Matthew Sugden

BD Chief Compliance Officer at Commonwealth Equity Services

Investment adviser and broker registrationsSEC record checked 18 October 2026

21
Years in the industry
21
Years at the firm
2
Adviser firms
1
State registrations

IAPD record retrieved 18 October 2026SEC record

Matthew Sugden is BD Chief Compliance Officer of Commonwealth Equity Services, LLC, a Waltham investment adviser managing $213B. Matthew Sugden has been registered through Commonwealth Equity Services since 29 March 2005, has 21 years in the industry across 2 firms and has passed 7 licensing exams.

Role at Commonwealth Equity Services

Title on Schedule A
BD Chief Compliance Officer
Control
Matthew Sugden is a control person of Commonwealth Equity Services.
Ownership
An individual ownership band is not available in the source record.
Tenure
Matthew Sugden has held the filed role since September 2025.

The firm

Commonwealth Equity Services, LLC
Waltham, MA

Form ADV filed 29 September 2026

$213B AUM360,488 clients2,650 advisers26 offices

Career on record

Matthew Sugden has been registered through Commonwealth Equity Services since March 2005.

Firms and exams, newest first
  1. LPL Financial LLCCurrent
    – present · under a year
    Natick, MA · Adviser representative and broker · Firm CRD 6413
  2. Passed Series 99TO · 2026
  3. Passed Series 52TO · 2025
  4. Passed SIE · 2018
  5. Commonwealth Financial NetworkCurrent
    – present · 15 years
    , · Adviser representative · Firm CRD 8032
  6. Passed Series 66 · 2011
  7. Passed Series 53 · 2010
  8. Passed Series 7 and Series 24 · 2005
  9. Commonwealth Financial NetworkCurrent
    – present · 22 years
    Natick, MA · Adviser representative and broker · Firm CRD 8032

Registrations and exams

Matthew Sugden has a current investment-adviser registration in Massachusetts and has passed 7 qualifying exams.

Massachusetts2 June 2011
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6631 May 2011
Name
Uniform Combined State Law Examination
Series 5325 March 2010
Name
Municipal Securities Principal Examination
Series 2419 November 2005
Name
General Securities Principal Examination
Series 99TO1 October 2026
Name
Operations Professional Examination
Series 52TO25 September 2025
Name
Municipal Securities Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 728 March 2005
Name
General Securities Representative Examination

Individual record

Full name
Matthew John Sugden
CRD
4804647
Firm
Commonwealth Equity Services, LLC
Registration status
Investment adviser and broker registrations
Firm bio
commonwealth.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Commonwealth identifies Matthew Sugden as its Broker/Dealer Chief Compliance Officer and says he oversees the firm’s compliance program. Official firm biography/team page

Education

Common questions

Where does Matthew Sugden work?

Matthew Sugden has been BD Chief Compliance Officer of Commonwealth Equity Services, LLC since September 2025, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 29 September 2026

Is Matthew Sugden a financial advisor?

Yes. Matthew Sugden has a current investment-adviser registration in Massachusetts, through Commonwealth Equity Services since March 2005, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

How many years of experience does Matthew Sugden have?

Matthew Sugden has worked in the financial industry for 21 years as of 18 October 2026, counted from 28 March 2005, across 2 adviser firms.

Source: IAPD individual record, checked 18 October 2026

What exams has Matthew Sugden passed?

Matthew Sugden has passed 7 licensing exams: the Series 7, Series 24, Series 53, Series 66, SIE, Series 52TO and Series 99TO. The earliest, the Series 7, was passed in March 2005.

Source: IAPD individual record, checked 18 October 2026

Leadership at Commonwealth Equity Services

Sources

  1. IAPD individual record, CRD 4804647. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Commonwealth Equity Services, LLC, filed 29 September 2026. Title, control and ownership bands.
  3. Commonwealth Equity Services team page. Biography, education, credentials, awards.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Matthew Sugden or Commonwealth Equity Services, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.