Steven C. Matiasz
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.
Steven C Matiasz, who also goes by Steven C Matiasz, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2008. Steven had worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2010 - September 6, 2011
BTS SECURITIES CORPORATION
October 28, 2010 - March 20, 2012
BTS ASSET MANAGEMENT, INC.
July 3, 2008 - November 19, 2008
EQUITABLE ADVISORS, LLC
February 13, 2008 - November 19, 2008
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
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Exams
Current Firm
BTS SECURITIES CORPORATION
CRD#: 8328 / SEC#: , 8-26818
Contact information
FINRA licenses (18 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
