Matthew P. Amos
Professional summary
Matthew Philip Amos was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Matthew is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Matthew had worked at 7 firms, which includes PFA SECURITY ASSET MANAGEMENT INC., CAMBRIDGE INVESTMENT RESEARCH INC., SAFEGUARD SECURITIES INC., ALLSTATE FINANCIAL SERVICES LLC, PROFESSIONAL FINANCIAL ADVISORS INC., 1717 CAPITAL MANAGEMENT COMPANY, DOMIK CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2001 - July 26, 2018
PFA SECURITY ASSET MANAGEMENT, INC.
March 31, 2000 - July 3, 2001
CAMBRIDGE INVESTMENT RESEARCH, INC.
November 5, 1999 - May 1, 2000
SAFEGUARD SECURITIES, INC.
October 20, 1998 - August 31, 1999
ALLSTATE FINANCIAL SERVICES, LLC
January 31, 1992 - November 22, 2019
PROFESSIONAL FINANCIAL ADVISORS, INC.
October 10, 1984 - December 8, 1997
1717 CAPITAL MANAGEMENT COMPANY
October 19, 1983 - June 1, 1984
DOMIK CORP.
State Registrations and Notice Filings
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Exams
Current Firm
PFA SECURITY ASSET MANAGEMENT, INC.
CRD#: 101161 / SEC#: , 8-52062
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ENGLEHART, DAVID LEE | CHIEF COMPLIANCE OFFICER/FINANCIAL OPERATIONS OFFICER | 1403903 |
| ENGLEHART, DAVID LEE | OWNER, DIRECTOR, VICE PRESIDENT, CHAIRMAN OF THE BOARD | 1403903 |
| NICKUM, JEFFREY SCOTT | OWNER, DIRECTOR, SECRETARY | 2822256 |
| ZIMMERMANN, CURT HEINZ | OWNER, DIRECTOR, PRESIDENT | 1520383 |
| RICHARD ZLOGAR | OWNER |
Disclosures
| Regulatory Event | 1 |
Red Flags
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