Matthew R. Lux
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 Raymond Lux, who also goes by Matt Lux, was a registered financial advisor .
Matthew is a previously registered financial advisor and started their career in finance in 1972. Matthew had worked at 10 firms and has passed the Series 66, Series 63, Series 3, Series 15, Series 5, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2008 - September 16, 2014
REK ADVISORS, INC.
May 24, 2006 - August 15, 2008
LIGHTHOUSE CAPITAL MANAGEMENT
January 28, 2003 - December 31, 2004
DIESSLIN GROUP, INC.
September 1, 1993 - September 23, 1999
CITIGROUP GLOBAL MARKETS INC.
June 15, 1989 - August 11, 1993
RAUSCHER PIERCE REFSNES, INC.
July 9, 1984 - June 16, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
April 6, 1981 - July 30, 1984
MORGAN STANLEY DW INC.
January 2, 1980 - May 3, 1981
KIDDER, PEABODY & CO. INCORPORATED
July 2, 1973 - March 22, 1974
DUPONT WALSTON, INCORPORATED
December 26, 1972 - July 2, 1973
DUPONT GLORE FORGAN INC
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 15
Date: 10/9/1984
Foreign Currency Options ExaminationSeries 5
Date: 10/6/1981
Interest Rate Options ExaminationSeries 1
Date: 12/11/1972
Registered Representative ExaminationCurrent Firm
REK ADVISORS, INC.
CRD#: 108198 / SEC#: 801-27224
Contact information
Red Flags
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