Stephen J. Degroat
Professional summary
Stephen Joseph Degroat was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen Joseph Degroat, who also goes by Stephen Degroat, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1986. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2011 - December 20, 2014
MATRIX CAPITAL GROUP, INC.
September 30, 2008 - April 1, 2010
CHANNEL CAPITAL GROUP LLC
June 18, 1997 - June 6, 2008
JESUP & LAMONT SECURITIES CORP
February 27, 1992 - April 7, 1997
GILFORD SECURITIES INCORPORATED
May 22, 1989 - February 27, 1992
CITIGROUP GLOBAL MARKETS INC.
February 10, 1986 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
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 15
Date: 1/22/1986
Foreign Currency Options ExaminationSeries 5
Date: 11/26/1985
Interest Rate Options ExaminationCurrent Firm
MATRIX CAPITAL GROUP, INC.
CRD#: 33364 / SEC#: 801-61224, 8-46398
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
| 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.
