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MG

Matthew J. Glazer

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CRD#: 2672407
MG

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 Jay Glazer was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 1995. Matthew had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 25 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) LG Planning Group 2) Not Investment Related 3) 445 Broadhollow Road, Suite 119 Melville NY 11747 4) Group Health Insurance and P/C Insurnace 5) Managing Partner 6) 04/01/2008 7) 130 hrs 8) 5 hrs 9) Managing the operations and new business development. 2. 1) Gary Levine & Associates, Ltd 2) Investment related 3) 445 Broadhollow Road, Suite 119 Melville, NY 11747 4) Fixed Insurance 5) Managing Partner 6) 04/01/2008 7) 5 hrs 8) 1-2 hrs 9) Insurance Sales. 3. 1) Compass Advisory Group, LLC dba Compass Advisors/Solicitor Agreement 2) Investment related 3) 155 Pinelawn Rd. Suite 210N, Melville NY 11747 4) SEC Registered Investment Advisor (RIA) 5) Solicitor 6) March 1, 2020 7) 5 per month 8) 1-5 per month 9) Making introductions and providing information about the advisory services and programs of Compass Advisors. 10) Receive 35% of net advisory fees per the solicitor agreement.

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

January 24, 2022 - June 15, 2023

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Melville, NY
Past

November 19, 2021 - December 31, 2022

COMPASS ADVISORS

RIA
CRD#: 288256
Dix Hills, NY
Past

March 21, 2014 - March 6, 2020

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
HAUPPAUGE, NY
Past

April 26, 2012 - October 3, 2012

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
HAUPPAUGE, NY
Past

February 8, 2010 - May 13, 2010

DAG SECURITIES INC.

BD
CRD#: 44376
NEW YORK, NY
Past

October 1, 2000 - April 1, 2008

DAG SECURITIES INC.

BD
CRD#: 44376
NEW YORK, NY
Past

April 1, 1999 - January 7, 2000

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

February 13, 1998 - April 12, 1999

MF GLOBAL INC.

BD
CRD#: 6731
NEW YORK, NY
Past

November 21, 1995 - February 20, 1998

PREFERREDTRADE, INC.

BD
CRD#: 10993
SAN FRANCISCO, CA

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
IAR
Series 65
Date: 11/19/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/25/2012
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 55
Date: 2/17/2007
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 25
Date: 11/30/1999
NYSE Trading Assistant Examination
General Industry/Product Exam
RR
Series 7
Date: 11/20/1995
General Securities Representative Examination

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

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

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 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#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

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