James J. Matuszak
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.
James John Matuszak, who also goes by Jim Matuszak, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, Series 62, SIE, Series 7, Series 6 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
January 3, 2005 - December 20, 2022
HALL & ROMKEMA FINANCIAL SERVICES, LLC
August 1, 2003 - December 20, 2022
HALL & ROMKEMA FINANCIAL SERVICES, LLC
September 6, 2002 - August 5, 2003
NSA SECURITIES CORPORATION
September 24, 1996 - August 5, 2003
NSA SECURITIES CORPORATION
July 30, 1990 - November 5, 1996
OGILVIE SECURITY ADVISORS CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationCurrent Firm
HALL & ROMKEMA FINANCIAL SERVICES, LLC
CRD#: 124609 / SEC#: 801-69094, 8-65800
Contact information
Regulatory assets under management
| Total Number of Accounts | 128 |
| AUM (Assets Under Management) | $ 64,256,519 |
Red Flags
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