Timothy M. Matula
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.
Timothy Mark Matula was a registered financial advisor .
Timothy is a previously registered financial advisor and started their career in finance in 1992. Timothy had worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 31, Series 7 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
April 3, 2007 - June 4, 2007
WESTMOORE ADVISORS, LLC
June 20, 1994 - September 23, 1997
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - July 5, 1994
CITIGROUP GLOBAL MARKETS INC.
June 11, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
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
No current employment
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.
