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Timothy Mark Matula

CRD# 2238850·Registered 1992 - 2007
Previously Registered: Being a previously registered professional could mean that Timothy 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.

Professional Summary

Timothy Mark Matula was a registered financial advisor. Timothy was a previously registered financial advisor and started their career in finance 1992 - 2007. Timothy had worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 31, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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.

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.

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Years of Experience

34 years in the financial services industry

Current & Past Employments

WESTMOORE ADVISORS, LLC·CRD# 140474
RIA
Anaheim Hills, CA
April 3, 2007 - June 4, 2007
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
June 20, 1994 - September 23, 1997
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
July 31, 1993 - July 5, 1994
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
June 11, 1992 - July 31, 1993

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Current Firm

No current employment

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Other business activities

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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Apr 2007About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1992About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Sep 1993About the Series 3 exam

Series 31 — Futures Managed Funds Examination

Passed Aug 1993About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Jun 1992About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Oct 1997About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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