DM
Douglas S. Matthews
GALLAGHER FIDUCIARY ADVISORS
Cleveland, OH 44102
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CRD#: 1279921
DM
Professional summary
Douglas Stephen Matthews, who also goes by Dusty Matthews, is a registered financial advisor currently at GALLAGHER FIDUCIARY ADVISORS, LLC located in Cleveland, Ohio and OSAIC WEALTH, INC. located in Cleveland, Ohio.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Douglas has worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dusty Matthews
Other business activities
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.
1)Gallagher Benefit Services,Inc;investment related;2850 Golf Road,Rolling Meadows,IL 60008;retirement plan consulting services;retirement plan consultant;7/2022;40 hrs/month;2 hrs during trading;retirement plan consulting 2)Gallagher Fiduciary Advisors,Inc;investment related;2850 Golf Road,Rolling Meadows,IL 60008;retirement plan consulting services;retirement plan consultant;7/2022;40 hrs/month;2 hrs during trading;retirement plan consulting 3)Matthews Officiating and Assigning;not investment related;1548 Callander Dr,Hudson,OH 44236;NCAA and OHSAA soccer officiating and referee assigning;assignor/referee;8/15/1989;10 hrs/month;0 hrs during trading;act as soccer official and help assign referees to games that need them
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Stephen Matthews's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 4, 2022 - Present
GALLAGHER FIDUCIARY ADVISORS, LLC
Office #1: 323 West Lakeside Ave., Ste. 410, Cleveland, OH 44102RIA
CRD#: 146509
Cleveland, OH
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 323 West Lakeside Ave Ste 410, Cleveland, OH 44113RIA
BD
CRD#: 23131
Cleveland, OH
Past
July 19, 2022 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Cleveland, OH
Past
April 12, 2018 - March 31, 2022
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Cleveland, OH
Past
April 9, 2018 - March 31, 2022
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
CLEVELAND, OH
Past
September 18, 2013 - February 24, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
AKRON, OH
Past
July 2, 2013 - September 18, 2013
FIRSTMERIT FINANCIAL SERVICES, INC
BD
CRD#: 149680
AKRON, OH
Past
September 20, 2010 - August 1, 2011
FIRSTMERIT FINANCIAL SERVICES, INC
BD
CRD#: 149680
AKRON, OH
Past
August 27, 2007 - July 8, 2008
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
PEPPER PIKE, OH
Past
August 24, 2007 - July 8, 2008
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
PEPPER PIKE, OH
Past
March 5, 2007 - August 1, 2007
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
PEPPER PIKE, OH
Past
February 9, 2005 - March 27, 2006
NATCITY INVESTMENTS, INC.
RIA
CRD#: 17490
CLEVELAND, OH
Past
June 2, 2003 - March 27, 2006
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
Past
May 9, 1994 - February 16, 1999
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
October 25, 1984 - November 21, 1989
PRESCOTT, BALL & TURBEN, INC.
BD
CRD#: 7656
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GF
GALLAGHER FIDUCIARY ADVISORS, LLC
COMPASS POINT RETIREMENT PLANNING | YANNI PARTNERS, A DIVISION OF GBS INVESTMENT CONSULTING, LLC | RIVERS INVESTMENT GROUP | KUSSKE FINANCIAL MANAGEMENT | INVESTAR ASSET MANAGEMENT | INDEPENDENT FIDUCIARY SERVICES, A DIVISION OF GBS INVESTMENT CONSULTING, LLC | GBS INVESTMENT CONSULTING, LLC | GALLAGHER INVESTMENTS | GALLAGHER FIDUCIARY ADVISORS, LLC | FLAGSTONE WEALTH MANAGEMENT | FINANCIAL CONSULTANTS OF AMERICA
CRD#: 146509 / SEC#: 801-68868
RIA
Registered Investment Advisory firm - (3/17/2008 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(8/23/2024)
RR
Colorado(8/23/2024)
RR
Florida(8/23/2024)
RR
Georgia(8/23/2024)
RR
Illinois(8/23/2024)
RR
Indiana(8/23/2024)
RR
Kentucky(8/23/2024)
RR
Louisiana(8/23/2024)
RR
Massachusetts(8/23/2024)
RR
Michigan(8/23/2024)
RR
Missouri(8/23/2024)
RR
Montana(8/23/2024)
RR
New Hampshire(8/23/2024)
RR
New York(8/23/2024)
RR
North Carolina(8/23/2024)
IAR
Ohio(5/4/2022)
RR
Ohio(8/23/2024)
RR
Oklahoma(8/23/2024)
RR
Pennsylvania(8/23/2024)
RR
South Carolina(8/23/2024)
RR
Texas(8/23/2024)
RR
Utah(8/23/2024)
RR
Virginia(8/23/2024)
RR
Washington(8/23/2024)
RR
Wisconsin(8/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GF
GALLAGHER FIDUCIARY ADVISORS, LLC
COMPASS POINT RETIREMENT PLANNING | YANNI PARTNERS, A DIVISION OF GBS INVESTMENT CONSULTING, LLC | RIVERS INVESTMENT GROUP | KUSSKE FINANCIAL MANAGEMENT | INVESTAR ASSET MANAGEMENT | INDEPENDENT FIDUCIARY SERVICES, A DIVISION OF GBS INVESTMENT CONSULTING, LLC | GBS INVESTMENT CONSULTING, LLC | GALLAGHER INVESTMENTS | GALLAGHER FIDUCIARY ADVISORS, LLC | FLAGSTONE WEALTH MANAGEMENT | FINANCIAL CONSULTANTS OF AMERICA
CRD#: 146509 / SEC#: 801-68868
RIA
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Contact information
Main Address
2850 Golf Road, Rolling Meadows, IL 60008
Mailing Address
Phone number
(212) 330-1011
Established
Firm type
Fiscal year end
# of Employees
221
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,754 |
| AUM (Assets Under Management) | $ 180,614,282,519 |
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.
