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Matthew Egan Oster

CRD# 5985958·Registered 2011 - 2016
Previously Registered: Being a previously registered professional could mean that Matthew 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.

Professional Summary

Matthew Egan Oster was a registered financial advisor. Matthew was a previously registered financial professional and started their career in finance 2011 - 2016. Matthew had worked at 1 firm and has passed the Series 66, SIE, Series 7 and Series 56 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

15 years in the financial services industry

Current & Past Employments

SIMPLEX TRADING, LLC·CRD# 153585
BD
Chicago, IL
July 16, 2014 - October 31, 2016
SIMPLEX TRADING, LLC·CRD# 153585
BD
Chicago, IL
November 23, 2011 - August 23, 2012

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Current Firm

ST
SIMPLEX TRADING, LLC

MULTIPLEX TRADING LLC | SIMPLEX TRADING, LLC | SET TRADING PARTNERS, LLC

CRD#: 153585 / SEC#: 8-68556
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Contact Information

Main Address

230 S. Lasalle Street Suite 08-500, Chicago, IL 60604

Mailing Address

230 S. Lasalle Street Suite 08-500, Chicago, IL 60604

Phone Number

(312) 360-2440

Established

Delaware since 02/22/2010

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
SIMPLEX HOLDCO, LLCMANAGING MEMBER, OWNER—
HAUFE, DAVID HARMONCHIEF TECHNOLOGY OFFICER5939783
KERLIN, DENNIS JOHNCHIEF COMPLIANCE OFFICER4757638
ROCKEY, JOAN KATHRYNCHIEF FINANCIAL OFFICER, FINOP4562343
SWANSON, ERIK THEODORECHIEF EXECUTIVE OFFICER5941677

Disclosures

Regulatory Event

4

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Oct 2016About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 2016About the Series 7 exam

Series 56 — Proprietary Trader Qualification Examination

Passed Nov 2011

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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