Ira S. Matlow
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.
Ira Stan Matlow was a registered financial professional .
Ira is a previously registered financial professional and started their career in finance in 1981. Ira had worked at 8 firms and has passed the SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2011 - October 23, 2018
PUMA CAPITAL, LLC
April 30, 2009 - April 30, 2009
RUSHMORE CAPITAL, INC.
November 19, 2004 - June 30, 2011
DOMESTIC SECURITIES, INC.
April 1, 2004 - November 3, 2004
BROKERAGEAMERICA, LLC
June 12, 1996 - May 4, 2004
NATIONAL FINANCIAL SERVICES LLC
August 1, 1995 - June 25, 1996
WSM HOLDINGS, L.L.C.
July 28, 1993 - August 7, 1995
WAGNER, STOTT & CO.
July 20, 1981 - July 1, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 55
Date: 5/3/1999
Limited Representative-Equity Trader ExamCurrent Firm
PUMA CAPITAL, LLC
CRD#: 146744 / SEC#: , 8-67849
Contact information
FINRA licenses (15 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
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.
