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Deborah D. Matustik

Some features on this profile are disabled
CRD#: 2485501
DM

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.

Deborah Dewall Matustik, who also goes by Deborah Jean Dewall, Deborah J Dewall-matustik, Deborah Jean Matustik, was a registered financial professional .

Deborah is a previously registered financial professional and started their career in finance in 1994. Deborah had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Deborah Jean Dewall | Deborah J Dewall-Matustik | Deborah Jean Matustik

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.
(1) 1/4 Interest in home in Breckenridge CO, Investment Property, 1/4 Owner Started 8/31/2017, 0 hours/month. (2) Pensionmark Austin Annuity & Insurance; 13 Rob Roy Road Austin, TX 78746 9/2006; Investment related; Annuity and Insurance sales and services; working with client's to asses their needs; 1 hour per month; 1 hour during trading hours

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 1, 2017 - July 2, 2025

PENSIONMARK SECURITIES, LLC

BD
CRD#: 283952
Austin, TX
Past

September 8, 2015 - September 1, 2017

CAPFINANCIAL SECURITIES, LLC.

BD
CRD#: 126291
Austin, TX
Past

September 4, 2015 - July 2, 2025

WORLD INVESTMENT ADVISORS, LLC

RIA
CRD#: 208512
AUSTIN, TX
Past

November 30, 2010 - November 4, 2014

LPL FINANCIAL LLC

RIA
CRD#: 6413
AUSTIN, TX
Past

November 30, 2010 - September 15, 2015

LPL FINANCIAL LLC

BD
CRD#: 6413
AUSTIN, TX
Past

November 24, 2010 - September 21, 2015

INDEPENDENT FINANCIAL PARTNERS

RIA
CRD#: 125112
AUSTIN, TX
Past

January 6, 2010 - November 30, 2010

NRP ADVISORS, INC.

RIA
CRD#: 141430
AUSTIN, TX
Past

January 6, 2010 - November 30, 2010

NRP FINANCIAL, INC.

BD
CRD#: 103717
AUSTIN, TX
Past

July 17, 2006 - January 15, 2010

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
AUSTIN, TX
Past

June 30, 2006 - January 15, 2010

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
AUSTIN, TX
Past

June 5, 1996 - November 28, 2005

401(K) INVESTMENT SERVICES, INC.

BD
CRD#: 31150
AUSTIN, TX
Past

June 6, 1994 - July 20, 1995

SIGNAL SECURITIES, INC.

BD
CRD#: 15916
FORT WORTH, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/14/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/3/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/29/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/3/1994
Investment Company Products/Variable Contracts Representative Examination

Current Firm

PS
PENSIONMARK SECURITIES, LLC
PENSIONMARK SECURITIES, LLC | PFG SECURITIES, LLC. | PENSIONMARK SECURITIES, LLC.

CRD#: 283952 / SEC#: , 8-69773

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
24 East Cota Street Suite 200, Santa Barbara, CA 93101
Mailing Address
24 East Cota Street Suite 200, Santa Barbara, CA 93101
Phone number
(888) 201-5488
Established
Delaware since 04/22/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (20 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WORLD INVESTMENT ADVISORS, LLCOWNER208512
CARTER, ANA RFINOP, PFO, POO4424794
CURLEY, JONATHAN ECHIEF COMPLIANCE OFFICER827148
HAMMOND, TROY GLENPRESIDENT/CEO2254232

Disclosures

Regulatory Event1

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.

Company Information

PENSIONMARK SECURITIES, LLC

CRD#: 283952

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