Matthew A. Kaftanich
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.
Matthew A Kaftanich was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2015. Matthew had worked at 1 firm and has passed the SIE 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
March 2, 2015 - April 20, 2016
ATIS, INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ATIS, INC
CRD#: 148274 / SEC#: , 8-68004
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVANICH, JOHN JOSEPH | SHAREHOLDER/JOINT WITH SPOUSE, PRESIDENT, DIRECTOR, EXEC. REP., CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER | 2661428 |
| EVANICH, LORI M | JOINT SHAREHOLDER/ SPOUSE WITH RIGHTS OF SURVIVORSHIP, DIRECTOR, SECRETARY | |
| SCHULTZ, KURT FREDERICK | SHAREHOLDER, GENERAL PRINCIPAL | 1563024 |
| MASTEJ, JOSEPH STEVEN | SHAREHOLDER, OPERATIONS OFFICER | |
| SEDAM, MICHAEL R | DIRECTOR | 7937139 |
Regulatory assets under management
| Total Number of Accounts | 215 |
| AUM (Assets Under Management) | $ 76,959,901 |
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.
