MM
Michael B. Matthiesen
TRADESTATION SECURITIES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 6098587
MM
Professional summary
Michael Bradley Matthiesen, who also goes by Michael Matthiesen, Mike Bradley Matthiesen, is a registered financial professional currently at TRADESTATION SECURITIES, INC. located in Chicago, Illinois.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2012. Michael has worked at 3 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 34, Series 3, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael Matthiesen | Mike Bradley Matthiesen
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Bradley Matthiesen's 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®
NoneExperience
Current
November 6, 2014 - Present
TRADESTATION SECURITIES, INC.
Office #1: 120 South Riverside Plaza Suite 1650, Chicago, IL 60606BD
CRD#: 39473
Chicago, IL
Past
July 22, 2013 - October 31, 2014
NORTHERN TRUST SECURITIES, INC.
BD
CRD#: 7927
CHICAGO, IL
Past
January 3, 2013 - April 24, 2013
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
CHICAGO, IL
Past
October 1, 2012 - April 24, 2013
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
CHICAGO, IL
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
Alabama(11/6/2014)
RR
Alaska(11/6/2014)
RR
Arizona(11/6/2014)
RR
Arkansas(11/6/2014)
RR
California(11/6/2014)
RR
Colorado(11/6/2014)
RR
Connecticut(11/6/2014)
RR
Delaware(11/6/2014)
RR
District of Columbia(11/6/2014)
RR
Florida(11/6/2014)
RR
Georgia(11/6/2014)
RR
Hawaii(11/6/2014)
RR
Idaho(11/6/2014)
RR
Illinois(11/6/2014)
RR
Indiana(11/6/2014)
RR
Iowa(11/6/2014)
RR
Kansas(11/6/2014)
RR
Kentucky(11/6/2014)
RR
Louisiana(11/6/2014)
RR
Maine(11/6/2014)
RR
Maryland(11/6/2014)
RR
Massachusetts(11/6/2014)
RR
Michigan(11/6/2014)
RR
Minnesota(11/6/2014)
RR
Mississippi(11/6/2014)
RR
Missouri(11/6/2014)
RR
Montana(11/6/2014)
RR
Nebraska(11/6/2014)
RR
Nevada(11/6/2014)
RR
New Hampshire(11/6/2014)
RR
New Jersey(11/6/2014)
RR
New Mexico(11/6/2014)
RR
New York(11/6/2014)
RR
North Carolina(11/6/2014)
RR
North Dakota(11/6/2014)
RR
Ohio(11/6/2014)
RR
Oklahoma(11/6/2014)
RR
Oregon(11/6/2014)
RR
Pennsylvania(11/6/2014)
RR
Puerto Rico(6/24/2022)
RR
Rhode Island(11/6/2014)
RR
South Carolina(11/6/2014)
RR
South Dakota(11/6/2014)
RR
Tennessee(11/6/2014)
RR
Texas(11/6/2014)
RR
Utah(11/6/2014)
RR
Vermont(11/6/2014)
RR
Virginia(11/6/2014)
RR
Washington(11/6/2014)
RR
West Virginia(11/6/2014)
RR
Wisconsin(11/6/2014)
RR
Wyoming(11/6/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 2/14/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
TS
TRADESTATION SECURITIES, INC.
ONLINE TRADING INC.COM | TRADESTATION SECURITIES, INC. | TRADESTATION SECURITIES | TRADESTATION | ONLINETRADNG.COM | ONLINETRADINGINC.COM CORP | ONLINETRADING.COM | ONLINETRADEINGINC.COM CORP. | ONLINE TRADING, INC.
CRD#: 39473 / SEC#: , 8-48711
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
8050 Sw 10th Street Suite 2000, Plantation, FL 33324
Mailing Address
8050 Sw 10th Street Suite 2000, Plantation, FL 33324
Phone number
(954) 652-7900
Established
Florida since 09/07/1995
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
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.
