Michael N. Matone

Some features on this profile are disabled

CRD#: 1010334

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.

Michael Nicholas Matone was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 4 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

INSURANCE AGENT OF NORTHWESTERN MUTUAL LIFE; SELLS AND SERVICES INSURANCE POLICIES; NOT INVESTMENT RELATED; SPEND APPROXIMATELY 60 HOURS PER MONTH

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 15, 2013 - January 16, 2025

STEELE CAPITAL MANAGEMENT, INC.

RIA

CRD#: 107097

Lakewood, FL

Past

March 29, 2007 - April 30, 2007

NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY

RIA

CRD#: 109729

MILWAUKEE, WI

Past

January 5, 2006 - September 27, 2013

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

WARWICK, RI

Past

July 16, 1990 - January 1, 2002

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

March 16, 1984 - September 27, 2013

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

WARWICK, RI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STEELE CAPITAL MANAGEMENT, INC.

CRD#: 107097 / SEC#: 801-50636

RIA

Registered Investment Advisory firm - (11/17/1995 Approved)

California

Registered Investment Advisory firm - (1/23/2003 Cancelled)

Massachusetts

Registered Investment Advisory firm - (11/15/2004 Terminated)

Minnesota

Registered Investment Advisory firm - (10/3/2002 Terminated)

Nebraska

Registered Investment Advisory firm - (11/19/2004 Terminated)

North Carolina

Registered Investment Advisory firm - (11/15/2004 Terminated)

Rhode Island

Registered Investment Advisory firm - (4/22/2003 Cancelled)

Texas

Registered Investment Advisory firm - (4/11/2003 Cancelled)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/12/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/16/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/15/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 8

Date: 6/17/1986

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

STEELE CAPITAL MANAGEMENT, INC.

CRD#: 107097 / SEC#: 801-50636

RIA

Registered Investment Advisory firm - (11/17/1995 Approved)

California

Registered Investment Advisory firm - (1/23/2003 Cancelled)

Massachusetts

Registered Investment Advisory firm - (11/15/2004 Terminated)

Minnesota

Registered Investment Advisory firm - (10/3/2002 Terminated)

Nebraska

Registered Investment Advisory firm - (11/19/2004 Terminated)

North Carolina

Registered Investment Advisory firm - (11/15/2004 Terminated)

Rhode Island

Registered Investment Advisory firm - (4/22/2003 Cancelled)

Texas

Registered Investment Advisory firm - (4/11/2003 Cancelled)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1000 Jackson Street Suite 201, Dubuque, IA 52001

Mailing Address

Phone number

(563) 588-2097

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STEELE CAPITAL MANAGEMENT ADV 2A FEB. 2025 (3/7/2025)

Regulatory assets under management

Total Number of Accounts	4,184
AUM (Assets Under Management)	$ 3,030,626,319

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael N. Matone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

STEELE CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/12/2005

Series 63

Date: 4/16/1991

Series 7

Date: 5/17/1986

Series 6

Date: 3/15/1984

Series 8

Date: 6/17/1986

Current Firm

STEELE CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STEELE CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors