Matthew J. Wiens
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 James Wiens, who also goes by Matthew J Wiens, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2003. Matthew had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2021 - July 27, 2022
CAPITOL FAMILY OFFICE, INC.
March 11, 2013 - April 1, 2021
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
August 30, 2011 - October 28, 2015
LPL FINANCIAL LLC
August 19, 2011 - March 25, 2020
LPL FINANCIAL LLC
March 15, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
March 15, 2005 - August 23, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
October 1, 2003 - April 13, 2005
AMERICAN FIDELITY SECURITIES, INC.
February 20, 2003 - August 12, 2003
CETERA WEALTH SERVICES, LLC
Primary Firm SEC Registration
CAPITOL FAMILY OFFICE, INC.
CRD#: 312005 / SEC#: 801-120221
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
CAPITOL FAMILY OFFICE, INC.
CRD#: 312005 / SEC#: 801-120221
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 524 |
| AUM (Assets Under Management) | $ 136,525,270 |
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.
