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Peter T. Matus

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CRD#: 2675757
PM

Professional summary

Peter Thomas Matus was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Peter is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Peter had worked at 2 firms, which includes TERRA NOVA FINANCIAL LLC, FIRST SECURITY CAPITAL MARKETS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Peter T Matus

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.

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

August 16, 2000 - July 10, 2001

TERRA NOVA FINANCIAL, LLC

BD
CRD#: 37761
NEW YORK, NY
Past

August 3, 1998 - October 15, 1998

FIRST SECURITY CAPITAL MARKETS, INC.

BD
CRD#: 44354
SALT LAKE CITY, UT

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
Series 63
Date: 6/27/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/1/1998
General Securities Representative Examination

Current Firm

TN
TERRA NOVA FINANCIAL, LLC
TERRA NOVA FINANCIAL, LLC | TERRA NOVA TRADING, L.L.C.

CRD#: 37761 / SEC#: , 8-47943

BD
Terminated by SEC on 02/01/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 11/14/1994
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LIGHTSPEED FINANCIAL, INC.DIRECT OWNER
ACTMAN, ANDREW HOWARDCHIEF OPERATIONS OFFICER2869087
BARRILLEAUX, JANICE JONESCHIEF EXECUTIVE OFFICER2339063
LYONS, JASON ROBERTCHIEF FINANCIAL OFFICE2921790
PETZOLD, KEITH WILLIAMCHIEF COMPLIANCE OFFICER2944070

Disclosures

Regulatory Event24
Arbitration4

Red Flags

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Company Information

TERRA NOVA FINANCIAL, LLC

CRD#: 37761

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