Roman A. Matz
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.
Roman A Matz was a registered financial professional .
Roman is a previously registered financial professional and started their career in finance in 2002. Roman had worked at 3 firms and has passed the Series 72 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2011 - November 1, 2013
TRADELINK L.L.C.
April 22, 2005 - February 14, 2006
GELBER SECURITIES, LLC
December 2, 2002 - February 15, 2005
S&L, L.L.C.
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 72
Date: 11/30/2002
Government Securities Representative ExaminationCurrent Firm
TRADELINK L.L.C.
CRD#: 33831 / SEC#: , 8-42003
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADELINK HOLDINGS L.L.C. | OWNER OF TRADELINK L.L.C. | |
| CORNELL, MONTGOMERY WILLIAM | PRESIDENT & COO | 1727670 |
| MOECKLER, HARLAN JAY | CFO & TREASURER. FINOP | 1243848 |
| REGAS, TERRY JOHN | DIRECTOR OF COMPLIANCE/CCO | 2258786 |
| RYAN, MICHAEL JOSEPH | SECRETARY | 1163469 |
| WEISSMAN, WALT KINGSTON | CO-CHAIRMAN | 2366386 |
| WOLF, STEVEN WESLEY | CO-CHAIRMAN | 2366375 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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