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MATTHEW AUGUST GLATZ
CRD#: 2894881
IA
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RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 Hamilton Square
300 Hamilton Blvd, Suite 110
Peoria, IL 61602
300 Hamilton Blvd, Suite 110
Peoria, IL 61602
View By:
5/8/2017
Customer Dispute
Settled
State Registrations
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Alabama 8/19/2011
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Mississippi 8/19/2011
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Arizona 8/19/2011
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Missouri 8/19/2011
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Arkansas 10/5/2012
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Montana 6/4/2024
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California 8/19/2011
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New Jersey 6/14/2024
B
Colorado 8/19/2011
B
New York 8/19/2011
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Connecticut 9/19/2017
B
North Carolina 1/25/2012
B
District of Columbia 8/19/2011
B
Ohio 9/8/2011
B
Florida 8/19/2011
B
Oklahoma 8/23/2023
B
Georgia 8/19/2011
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Pennsylvania 8/19/2011
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Illinois 8/19/2011
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Rhode Island 8/19/2011
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Illinois 8/19/2011
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South Carolina 8/19/2011
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Indiana 8/19/2011
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South Dakota 1/30/2015
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Iowa 8/19/2011
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Tennessee 7/31/2012
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Kansas 11/2/2020
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Texas 8/19/2011
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Kentucky 10/21/2011
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Texas 9/9/2011
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Louisiana 11/1/2021
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Utah 5/9/2022
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Maryland 8/19/2011
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Virginia 9/9/2014
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Massachusetts 1/22/2015
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Washington 10/12/2015
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Michigan 4/28/2014
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Wisconsin 8/19/2011
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Minnesota 8/19/2011
SRO Registrations
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Registered with this firm since 8/19/2011
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Registered with this firm since 8/19/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/28/1999 - 08/23/2011 | PEORIA, IL | |
B | 06/11/1997 - 08/23/2011 | PEORIA, IL |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.