Matthew I. Balk
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 I Balk was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1984. Matthew had worked at 4 firms and has passed the Series 63, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2008 - December 31, 2011
BURNHAM HILL PARTNERS LLC
October 2, 2003 - December 19, 2008
PALI CAPITAL, INC.
July 10, 1999 - October 17, 2003
H.C.WAINWRIGHT & CO., LLC
October 4, 1984 - July 1, 1999
JOSEPHTHAL & CO., 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
Series 8
Date: 7/8/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BURNHAM HILL PARTNERS LLC
CRD#: 148000 / SEC#: , 8-67950
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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