Jon C. Matthai
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.
Jon Carl Matthai, who also goes by Jon Carl Roach, was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1993. Jon had worked at 8 firms and has passed the SIE, Series 55, Series 7, Series 11, Series 9, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2011 - September 27, 2013
OSAGE INVESTMENTS, INC.
September 20, 2010 - October 21, 2014
NATIONAL SECURITIES CORPORATION
April 19, 2006 - December 19, 2012
EQUITY STATION, INC.
January 1, 2002 - October 21, 2014
VFINANCE INVESTMENTS, INC
July 16, 2001 - January 1, 2002
FIRST COLONIAL SECURITIES
March 6, 1995 - January 2, 2001
JWGENESIS SECURITIES, INC.
June 7, 1993 - June 30, 1999
JW GENESIS CLEARING CORP.
March 11, 1993 - July 16, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
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 55
Date: 9/23/2000
Limited Representative-Equity Trader ExamSeries 11
Date: 3/8/1993
Assistant Representative-Order Processing Qualification ExamCurrent Firm
OSAGE INVESTMENTS, INC.
CRD#: 118539 / SEC#: , 8-53669
Contact information
Documents
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.
