Matthew Winthrop: Aegis Broker Fired by Equitable Advisors

Easton, Connecticut financial advisor Matthew Winthrop (CRD# 2445102) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he the former Equitable Advisors representative is currently registered as a broker and an investment advisor with Aegis Capital.

Mr. Winthrop’s BrokerCheck report discloses his termination from Equitable Advisors. Filed in September 2025, it states that the firm fired him in connection with allegations of “excessive trading in client brokerage accounts.”

A second disclosure on his BrokerCheck report concerns an investor complaint against him. Filed in 2015, it alleged that as a representative of Oppenheimer & Company, he made an unauthorized trade. In addition, the complaint alleged that funds were withdrawn from the customer’s IRA and treated as a distribution, for which the customer was penalized by the IRS. . The complaint reached a settlement of $50,000.

In a statement included with the complaint’s disclosure, Mr. Winthrop defended himself against the allegations. “This complaint was against my previous firm, OPCO , and related to a premature IRA distribution which the client claimed was coded incorrectly,” he wrote. “Customer represented herself and inserted several allegations which the facts clearly refute. I was never named as a defendant in this case.”

According to the Financial Industry Regulatory Authority, Matthew Winthrop holds 31 years of securities industry experience. Based in Easton, Connecticut, he has been registered as a broker and an investment advisor with Aegis Capital since September 2025. His past registrations include Equitable Advisors, Aegis Capital, RBC Capital Markets, Oppenheimer & Company, H&R Block Financial Advisors, UBS Painewebber, Prudential Securities, and Dean Witter Reynolds. His credentials include the passage of six securities industry qualifying exams: the Uniform Combined State Law Examination, or Series 66; the Uniform Securities Agent State Law Examination, or Series 63; the Securities Industry Essentials Examination, or SIE; the General Securities Principal Examination, or Series 24; the General Securities Representative Examination, or Series 7; and the Futures Managed Funds Examination, or Series 31. He is licensed in Connecticut, Florida, New York, Pennsylvania, Texas, and Virginia. (Information current as of September 30, 2025.)

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