Matthew A. Zuckerbraun
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Matthew Alexander Zuckerbraun, who also goes by Matthew A. Zuckerbraun Ph.d., was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1981. Matthew had worked at 10 firms and has passed the Series 63, SIE, Series 16 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2012 - December 31, 2019
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
February 18, 1998 - December 3, 2012
SANDGRAIN SECURITIES LLC
March 23, 1995 - April 9, 1997
LABRANCHE FINANCIAL SERVICES, LLC
May 27, 1994 - January 16, 1995
EXETER, LTD.
August 7, 1989 - January 28, 1998
HAMPSHIRE SECURITIES CORPORATION
June 17, 1986 - June 16, 1987
HAAS SECURITIES CORPORATION
January 20, 1986 - July 2, 1986
EMPIRE NATIONAL SECURITIES, INCORPORATED
November 6, 1985 - January 2, 1986
GOLDSMITH & HARRIS INCORPORATED
October 4, 1982 - August 30, 1985
ASTRA FUND DISTRIBUTORS CORP.
August 6, 1981 - September 23, 1982
PHILIPS, APPEL & WALDEN, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
