Matthew Mierzycki: FINRA Fines, Suspends Ameriprise Advisor

Round Rock, Texas financial advisor Matthew Mierzycki (CRD# 6102769) was recently suspended by FINRA in connection with allegations of unauthorized trading. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with Edward Jones.

Mr. Mierzycki’s BrokerCheck report discloses the FINRA sanction against him. Filed in December 2023, it alleged that he engaged in discretionary trading “in numerous customer accounts without first obtaining the prior written authorization of the customers.” Not only did he fail to receive the customers’ authorization, FINRA found, he also failed to receive his member firm’s approval of the accounts as discretionary. “The findings also stated that Mierzycki failed to timely disclose compromises with creditors on his Form U4,” according to the disclosure, which notes that he did not admit or deny the findings. FINRA issued him a fine of $10,000 and a four-month suspension from registering with any member firm in any capacity.

A second disclosure on Mr. Mierzycki’s BrokerCheck report concerns his firing from Edward Jones. Filed in 2021, it states that the firm terminated him in connection with allegations that he violated the company’s policy regarding discretionary orders.

A third disclosure concerns an investor complaint against him. Filed in 2016, it alleged that he did not properly inform the customer of tax ramifications associated with an annuity liquidation. The complaint reached a settlement of $8,000.

According to the Financial Industry Regulatory Authority, Matthew Mierzycki holds 11 years of securities industry experience. Based in Round Rock, Texas, he has been a broker and an investment advisor with Ameriprise Financial Services since 2021. He was previously registered with Edward Jones in San Francisco, California from 2012 until 2021. His credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Arizona, California, Idaho, Illinois, Louisiana, New York, and Texas. (Information current as of January 17, 2024.)

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