Stephen R. Matlack
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.
Stephen Robert Matlack, who also goes by Steve Matlack, was a registered financial advisor .
Stephen is a previously registered financial advisor and started their career in finance in 1987. Stephen had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2014 - December 2, 2015
INTERNATIONAL ASSETS ADVISORY, LLC
November 21, 2014 - December 2, 2015
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
July 18, 2014 - October 29, 2014
CHAPIN, DAVIS
July 15, 2014 - October 29, 2014
CHAPIN, DAVIS
November 19, 2010 - June 18, 2014
OPPENHEIMER & CO. INC.
November 18, 2010 - June 18, 2014
OPPENHEIMER & CO. INC.
November 5, 2008 - November 26, 2010
JANNEY MONTGOMERY SCOTT LLC
November 3, 2008 - November 26, 2010
JANNEY MONTGOMERY SCOTT LLC
March 23, 2007 - November 17, 2008
WELLS FARGO CLEARING SERVICES, LLC
March 23, 2007 - November 17, 2008
WELLS FARGO CLEARING SERVICES, LLC
July 20, 2004 - April 3, 2007
FERRIS, BAKER WATTS, LLC
July 19, 2004 - April 3, 2007
FERRIS, BAKER WATTS, LLC
September 5, 2001 - July 19, 2004
MORGAN STANLEY DW INC.
August 10, 2000 - July 19, 2004
MORGAN STANLEY DW INC.
October 29, 1993 - August 14, 2000
CITIGROUP GLOBAL MARKETS INC.
June 10, 1992 - November 2, 1993
A. G. EDWARDS & SONS, INC.
July 22, 1988 - June 11, 1992
ALEX. BROWN & SONS INCORPORATED
May 26, 1987 - August 17, 1988
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
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
Current Firm
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| HARRIS, KEVIN ANDRE | FINOP | 7061906 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
