Articles Tagged with Edward Matthes

Edward Matthes

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 15, 2019 indicate that former Wisconsin-based Mutual of Omaha Investor Services broker/adviser Edward Matthes, who has received multiple resolved or pending customer complaints, has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Matthes (CRD# 2788055).

Edward Matthes has spent 20 years in the securities industry and was most recently registered with Mutual of Omaha Investor Services in Ocomowoc, Wisconsin (2012-2019). Previous registrations include Thrivent Investment Management in Ocomowoc, Wisconsin (2006-2012); MML Investors Services in Chesterfield, Missouri (2006); Thrivent Investment Management in Minneapolis, Minnesota (1999-2006); and AAL Capital Management Corporation in Minneapolis, Minnesota (1996-1997). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 19, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 16, 1996; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on July 26, 2001; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 19, 1996. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two customer complaints, ten pending customer complaints, and one regulatory sanction.