Steven E. Matzke
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.
Steven Eugene Matzke was a registered financial advisor .
Steven is a previously registered financial advisor and started their career in finance in 1996. Steven had worked at 2 firms and has passed the Series 63, Series 42, Series 62, Series 22, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2005 - December 31, 2010
INVESTORS CAPITAL CORP.
July 12, 1999 - June 16, 2005
EASTERN POINT ADVISORS INC.
September 10, 1996 - December 31, 2010
INVESTORS CAPITAL CORP.
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
Series 42
Date: 4/16/2003
Registered Options Representative ExaminationSeries 62
Date: 7/22/1999
Corporate Securities Limited Representative ExaminationCurrent Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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