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MR
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Matthew D. Rubin

CRD#: 4869755
MR
AdvisorCheck Check Mark

Professional summary

Matthew David Rubin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Matthew is a previously registered financial advisor and started their career in finance in 2004. Prior to being barred, Matthew had worked at 4 firms, which includes LODESTAR SECURITIES CORP., DOMINICK & DICKERMAN LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, J.P. MORGAN SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Matthew D Rubin | Matthew D. Rubin

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

December 27, 2013 - January 2, 2015

LODESTAR SECURITIES CORP.

BD
CRD#: 159532
NEW YORK, NY
Past

October 12, 2012 - December 17, 2012

DOMINICK & DICKERMAN LLC

BD
CRD#: 7344
NEW YORK, NY
Past

May 9, 2008 - August 28, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

April 14, 2008 - August 28, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

November 10, 2004 - November 28, 2006

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY

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
RR
IAR
Series 66
Date: 5/7/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/25/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 8/1/2008
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 11/9/2004
General Securities Representative Examination

Current Firm

LS
LODESTAR SECURITIES CORP.
LODESTAR SECURITIES CORP.

CRD#: 159532 / SEC#: , 8-68994

BD
Terminated by SEC on 08/15/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 10/05/2011
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PI3 HOLDINGS, CORP.PARENT COMPANY
KLEDARAS, GEORGE NICHOLASMEMBER OF BOARD OF DIRECTORS2670946
LAFAMAN, JAMES THOMASMEMBER OF BOARD OF DIRECTORS2870861
WISHNIVETSKI, ELICCO, COUNSEL4424907

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.

Company Information

LODESTAR SECURITIES CORP.

CRD#: 159532

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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