Stewart K. Materne

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CRD#: 322673

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.

Stewart Kirk Materne, who also goes by Kirk S Matern Jr, Kirk S Materne, Kirk Materne, Stewart Kirk Materne Jr, was a registered financial professional .

Stewart is a previously registered financial professional and started their career in finance in 1974. Stewart had worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kirk S Matern Jr | Kirk S Materne | Kirk Materne | Stewart Kirk Materne Jr

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 6, 2014 - May 28, 2015

MERRION SECURITIES, LLC

CRD#: 30145

WESTFIELD, NJ

Past

June 29, 2005 - July 2, 2012

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

NAPLES, FL

Past

April 12, 2001 - June 28, 2005

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

November 2, 1995 - April 4, 2001

ABN AMRO INCORPORATED

CRD#: 15776

STAMFORD, CT

Past

May 26, 1994 - November 2, 1995

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

Past

May 20, 1992 - June 13, 1994

MERRION SECURITIES, LLC

CRD#: 30145

CRANFORD, NJ

Past

May 10, 1991 - June 8, 1992

SCULLY BROTHERS & FOSS

CRD#: 22577

Past

July 25, 1987 - October 29, 1987

PAINEWEBBER REAL ESTATE SECURITIES INC.

CRD#: 19736

Past

December 2, 1986 - February 25, 1991

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 31, 1982 - November 25, 1986

LAZARD FRERES & CO. LLC

CRD#: 2528

Past

February 27, 1980 - February 20, 1982

MORGAN STANLEY & CO. LLC

CRD#: 8209

Past

May 14, 1974 - February 27, 1980

MORGAN STANLEY & CO., INCORPORATED

CRD#: 5203

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

Series 63

Date: 5/2/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/28/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/31/1985

National Commodity Futures Examination

General Industry/Product Exam

Series 1

Date: 5/9/1974

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/4/1987

General Securities Principal Examination

Current Firm

MERRION SECURITIES, LLC

MERRION ALTERNATIVE INVESTMENTS | MERRION SECURITIES, LLC | MERRION GROUP, LLC | MERRION GROUP, L.P.

CRD#: 30145 / SEC#: , 8-44770

Terminated by SEC on 12/11/2022

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Contact information

Main Address

Mailing Address

Phone number

Established

New Jersey since 05/01/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
WIGTON, WILLIAM BENSON	CHIEF EXECUTIVE OFFICER	806775
ERB, DAVID EDWIN	REGISTERED OPTIONS PRINCIPAL	4572290
ROGERS, RANDOLPH CHRISTIAN	CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER	4821597
SPINDEL, HOWARD	FINANCIAL OPERATIONS PRINCIPAL	708042

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Stewart K. Materne

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

GLEACHER & COMPANY SECURITIES, INC.

ABN AMRO INCORPORATED

SBC WARBURG DILLON READ INC.

MERRION SECURITIES, LLC

SCULLY BROTHERS & FOSS

PAINEWEBBER REAL ESTATE SECURITIES INC.

UBS FINANCIAL SERVICES INC.

LAZARD FRERES & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO., INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 5/2/1980

SIE

Date: 5/28/2015

Series 3

Date: 10/31/1985

Series 1

Date: 5/9/1974

Series 24

Date: 9/4/1987

Current Firm

MERRION SECURITIES, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MERRION SECURITIES, LLC

TRUST BUT VERIFY

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