Matthew K. Baltz
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.
Matthew K Baltz, who also goes by Matt Baltz, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1995. Matthew had worked at 12 firms and has passed the Series 66, Series 63, 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
March 3, 2014 - December 31, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
February 28, 2014 - December 31, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 18, 2011 - March 18, 2014
INVESTORS CAPITAL CORP.
August 17, 2011 - March 18, 2014
INVESTORS CAPITAL CORP.
January 23, 2009 - September 7, 2011
SECURITIES AMERICA ADVISORS, INC.
January 23, 2009 - September 1, 2011
SECURITIES AMERICA, INC.
October 29, 2007 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
October 17, 2007 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
July 18, 2007 - November 7, 2007
CETERA ADVISORS LLC
July 18, 2007 - November 7, 2007
CETERA ADVISORS LLC
April 27, 2004 - July 18, 2007
LEGACY ADVISORY SERVICES, INC.
July 17, 2001 - July 18, 2007
LEGACY FINANCIAL SERVICES, INC.
December 15, 1999 - July 18, 2001
NATIONAL PLANNING CORPORATION
August 5, 1999 - January 5, 2000
FIRST ALLIED SECURITIES, INC.
July 13, 1995 - July 30, 1999
SUNAMERICA SECURITIES, INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
