Matthew J. Clark
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 John Clark, who also goes by Matthew J Clark, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1992. Matthew had worked at 12 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2016 - May 1, 2024
CETERA INVESTMENT ADVISERS LLC
September 26, 2013 - May 1, 2024
CETERA INVESTMENT SERVICES LLC
February 1, 2010 - September 23, 2013
ESSEX NATIONAL SECURITIES, LLC
December 3, 2007 - November 13, 2009
COLONIAL BROKERAGE, INC.
February 13, 2007 - November 5, 2007
MORGAN KEEGAN & COMPANY, LLC
August 18, 2005 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
January 31, 2005 - February 25, 2005
WELLS FARGO CLEARING SERVICES, LLC
August 3, 1998 - April 3, 2000
IFMG SECURITIES, INC.
July 31, 1997 - December 31, 2004
SOUTHTRUST SECURITIES, LLC
July 3, 1997 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
June 23, 1997 - July 15, 1997
SOUTHTRUST SECURITIES, LLC
February 11, 1996 - June 20, 1997
GRIFFIN FINANCIAL SERVICES
December 18, 1992 - July 13, 1995
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
