Stephen Joseph Degroat
Professional Summary
Stephen Joseph Degroat, who also goes by Stephen Degroat, was a registered financial advisor. Stephen was a previously registered financial professional and started their career in finance 1986 - 2014. Stephen had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 15, Series 3, Series 5 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stephen Degroat
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
41 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
MATRIX CAPITAL GROUP | MATRIX CAPITAL GROUP, INC.
Contact Information
Established
New York since 02/12/1993Firm Type
CorporationFiscal Year End
DecemberDirect owners and executive officers
Disclosures
Regulatory Event
3Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 15 — Foreign Currency Options Examination
Passed Jan 1986Series 5 — Interest Rate Options Examination
Passed Nov 1985Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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