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MF

Matthew M. Fessler

VICTORY CAPITAL SERVICES
Avon Lake, OH
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CRD#: 5390173
MF

Professional summary


Matthew Michael Fessler, who also goes by Matthew Fessler, is a registered financial professional currently at VICTORY CAPITAL SERVICES, INC. located in Avon Lake, Ohio.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2007. Matthew has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Matthew Fessler

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) - BD


Click below to view Matthew Michael Fessler's CRS (Customer Relationship Summary).
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®
None

Experience


Current

April 17, 2024 - Present

VICTORY CAPITAL SERVICES, INC.

BD
CRD#: 37059
Avon Lake, OH
Past

January 13, 2016 - April 12, 2024

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

June 2, 2014 - January 11, 2016

RS FUNDS DISTRIBUTOR LLC

BD
CRD#: 165753
VILLANOVA, PA
Past

February 15, 2012 - June 2, 2014

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

June 18, 2008 - February 6, 2012

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

August 8, 2007 - November 21, 2007

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI

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
Connecticut
(4/17/2024)
RR
Delaware
(4/17/2024)
RR
Florida
(4/17/2024)
RR
Maine
(4/17/2024)
RR
Maryland
(4/17/2024)
RR
Massachusetts
(4/17/2024)
RR
New Hampshire
(4/17/2024)
RR
New Jersey
(4/17/2024)
RR
New York
(4/17/2024)
RR
North Carolina
(4/17/2024)
RR
Pennsylvania
(4/17/2024)
RR
Rhode Island
(4/17/2024)
RR
South Carolina
(4/17/2024)
RR
Vermont
(4/17/2024)
RR
Virginia
(4/17/2024)

Exams


State Security Law Exam
RR
Series 63
Date: 11/3/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA

Current Firm


VC
VICTORY CAPITAL SERVICES, INC.
CHS INVESTMENT SERVICES, INC. | VICTORY INCOME INVESTORS | VICTORY FUNDS | VICTORY CAPITAL SERVICES, INC. | VICTORY CAPITAL ADVISERS, INC. | TRIVALENT INVESTMENTS | THE ONE GROUP SERVICES COMPANY | SYCAMORE CAPITAL | RS INVESTMENTS | PIONEER INVESTMENTS | ONE GROUP SERVICES COMPANY (THE) | OGSC DISTRIBUTOR, INC. | NEW ENERGY CAPITAL | MUNDER CAPITAL MANAGEMENT | INTEGRITY ASSET MANAGEMENT

CRD#: 37059 / SEC#: , 8-47577

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information


Main Address
4900 Tiedeman Road 4th Floor, Brooklyn, OH 44144
Mailing Address
4900 Tiedeman Road 4th Floor, Brooklyn, OH 44144
Phone number
(216) 898-2400
Established
Delaware since 06/03/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers


NamePositionCRD#
VICTORY CAPITAL OPERATING, LLCSOLE SHAREHOLDER
INKS, DONALD ANTHONYCHIEF OPERATIONS OFFICER2311245
MATHES, CHARLES BCHIEF COMPLIANCE OFFICER5980160
POLICARPO, MICHAEL DENNIS IIPRESIDENT4316912
PONTE, CHRISTOPHER ANTONICFO/FINOP5968469

Disclosures


Regulatory Event1

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


VICTORY CAPITAL SERVICES, INC.

CRD#: 37059Avon Lake, OH

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