Matthew Bruce Adler
Professional Summary
Matthew Bruce Adler is a registered financial advisor currently at ASHTON THOMAS SECURITIES, LLC located in Endicott, New York. Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Matthew has worked at 3 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
J. W. COLE ADVISORS, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
J. W. COLE ADVISORS, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
J. W. COLE ADVISORS, INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
J. W. COLE ADVISORS, INC.
Years of Experience
44 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
J. W. COLE ADVISORS, INC.
Current Firm
ASHTON THOMAS SECURITIES, LLC | LANZISERA, JOSEPH ANTHONY | EXCEL SECURITIES & ASSOCIATES,INC. | EXCEL SECURITIES & ASSOCIATES, INC. | EXCEL SECURITIES & ASSOCIATES | EXCEL SECURITIES | ERB FINANCIAL SERVICES | CHEEVERS HAND & ANGELINE LLC
Contact Information
Main Address
100 Meridian Centre Blvd Suite 250, Rochester, NY 14618Mailing Address
100 Meridian Centre Blvd Suite 250, Rochester, NY 14618Phone Number
(602) 732-4745Established
Delaware since 01/08/2024Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
46SEC notice filing (46 States and Territories)
Registered to provide investment advisory services in 46 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 46 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
2,282AUM (Assets Under Management)
$1,859,651,619Disclosures
Regulatory Event
4Arbitration
2Similar Advisors
J. W. COLE ADVISORS, INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Similar Advisors
J. W. COLE ADVISORS, INC.
Primary Firm SEC Registration
ASHTON THOMAS SECURITIES, LLC | LANZISERA, JOSEPH ANTHONY | EXCEL SECURITIES & ASSOCIATES,INC. | EXCEL SECURITIES & ASSOCIATES, INC. | EXCEL SECURITIES & ASSOCIATES | EXCEL SECURITIES | ERB FINANCIAL SERVICES | CHEEVERS HAND & ANGELINE LLC
State Registrations and Notice Filings
(1/29/2018)
(3/23/2011)
(9/16/2021)
(1/3/2009)
(5/8/2015)
(1/3/2009)
(12/5/2017)
(1/3/2009)
(1/3/2009)
(8/23/2010)
(9/15/2016)
(1/3/2009)
(1/3/2009)
(1/3/2009)
(12/9/2025)
(2/21/2024)
(2/23/2021)
(1/3/2009)
(1/3/2009)
(9/6/2011)
(1/3/2009)
(8/21/2021)
(1/5/2009)
(3/1/2010)
(1/3/2009)
(1/29/2018)
(1/3/2009)
(1/3/2009)
(1/3/2009)
(5/17/2017)
(2/2/2022)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1982About the Series 6 examSRO Registrations
Similar Advisors
J. W. COLE ADVISORS, INC.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Bruce Adler's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew Bruce Adler's CRS (Customer Relationship Summary).
Similar Advisors
J. W. COLE ADVISORS, INC.