MI
Matthew P. Iak
WESTMORELAND CAPITAL
Buffalo, NY 14202
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CRD#: 4171508
MI
Professional summary
Matthew Parker Iak is a registered financial professional currently at WESTMORELAND CAPITAL CORPORATION located in Buffalo, New York.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 2000. Matthew has worked at 5 firms and has passed the Series 63, Series 66, Series 99TO, Series 22TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Matthew Parker Iak's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 25, 2007 - Present
WESTMORELAND CAPITAL CORPORATION
Office #1: 591 Delaware Avenue, Buffalo, NY 14202Office #2: 601 E. Exchange Avenue Suite 100, Fort Worth, TX 76164Office #3: 601 E. Exchange Avenue Suite 100, Fort Worth, TX 76164BD
CRD#: 11469
Buffalo, NY
Past
April 4, 2003 - June 9, 2005
FISHER INVESTMENTS
RIA
CRD#: 107342
VICTOR, NY
Past
February 8, 2001 - December 17, 2002
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
April 18, 2000 - October 19, 2000
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 18, 2000 - October 19, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/15/2014)
RR
Alaska(3/20/2014)
RR
Arizona(4/29/2014)
RR
Arkansas(4/10/2014)
RR
California(2/20/2014)
RR
Colorado(1/28/2014)
RR
Connecticut(4/24/2014)
RR
Delaware(4/25/2014)
RR
District of Columbia(4/23/2014)
RR
Florida(6/20/2014)
RR
Georgia(3/20/2014)
RR
Hawaii(4/23/2014)
RR
Idaho(1/29/2014)
RR
Illinois(1/7/2015)
RR
Indiana(8/19/2014)
RR
Iowa(2/20/2014)
RR
Kansas(4/22/2014)
RR
Kentucky(2/20/2014)
RR
Louisiana(1/28/2014)
RR
Maine(6/3/2014)
RR
Maryland(1/30/2014)
RR
Massachusetts(2/25/2014)
RR
Michigan(2/20/2014)
RR
Minnesota(2/20/2014)
RR
Mississippi(2/20/2014)
RR
Missouri(5/16/2014)
RR
Montana(2/20/2014)
RR
Nebraska(4/15/2014)
RR
Nevada(2/27/2014)
RR
New Hampshire(4/21/2015)
RR
New Jersey(8/18/2014)
RR
New Mexico(5/16/2014)
RR
New York(2/20/2014)
RR
North Carolina(3/20/2014)
RR
North Dakota(7/8/2014)
RR
Ohio(2/7/2014)
RR
Oklahoma(2/20/2014)
RR
Oregon(2/20/2014)
RR
Pennsylvania(6/16/2014)
RR
Puerto Rico(6/25/2014)
RR
Rhode Island(2/20/2014)
RR
South Carolina(7/31/2014)
RR
South Dakota(2/20/2014)
RR
Tennessee(4/25/2014)
RR
Texas(6/10/2014)
RR
Utah(2/28/2014)
RR
Vermont(4/25/2014)
RR
Virginia(7/16/2014)
RR
Washington(2/20/2014)
RR
West Virginia(5/8/2014)
RR
Wisconsin(4/15/2014)
RR
Wyoming(2/20/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WC
WESTMORELAND CAPITAL CORPORATION
WESTMORELAND CAPITAL CORPORATION
CRD#: 11469 / SEC#: , 8-24116
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
601 E. Exchange Avenue Suite 100, Fort Worth, TX 76164
Mailing Address
1521 N. Cooper Street Suite 400, Arlington, TX 76011
Phone number
(682) 305-2868
Established
New York since 08/03/1979
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WESTMORELAND CAPITAL CORPORATION
CRD#: 11469Buffalo, NY 14202TRUST BUT VERIFY
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