Matthew L. Larson
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.
Matthew Lewton Larson, who also goes by Matt Larson, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1983. Matthew had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2022 - October 21, 2025
ARETE WEALTH MANAGEMENT, LLC
July 19, 2022 - January 6, 2025
ARETE WEALTH ADVISORS, LLC
December 5, 2019 - July 20, 2022
B. RILEY WEALTH ADVISORS, INC.
October 3, 2018 - July 20, 2022
NATIONAL SECURITIES CORPORATION
July 7, 2017 - October 16, 2018
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2009 - July 10, 2017
MORGAN STANLEY
April 27, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
January 3, 2003 - May 3, 2007
OPPENHEIMER & CO. INC.
June 12, 1998 - January 3, 2003
CIBC WORLD MARKETS CORP.
October 8, 1991 - June 6, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 13, 1987 - October 9, 1991
MORGAN STANLEY & CO. LLC
January 19, 1983 - January 27, 1987
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
Current Firm
ARETE WEALTH MANAGEMENT, LLC
CRD#: 44856 / SEC#: , 8-50854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARETE WEALTH INC | DIRECT OWNER | |
| BULLA, CHRISTIAN ALEXANDER | MUNICIPAL SECURITIES PRINCIPAL | 7067640 |
| CHUNG, UNBO | CHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER | 6208569 |
| HOCK, DAVID CARL | CHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP) | 2246268 |
| RAYNER, MICAH HARDING | REGISTERED OPTIONS PRINCIPAL | 6252596 |
| ROGERS, JOSHUA DEAN | CHIEF EXECUTIVE OFFICER | 3163818 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
