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GM

Guy F. Matthews

Some features on this profile are disabled
CRD#: 1476529
GM

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.

Guy Francis Matthews was a registered financial professional .

Guy is a previously registered financial professional and started their career in finance in 1986. Guy had worked at 2 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 18, 2014 - December 31, 2018

ELLIS INVESTMENT PARTNERS, LLC

RIA
CRD#: 157669
BERWYN, PA
Past

April 9, 1986 - April 12, 2006

EQUITY SERVICES, INC.

BD
CRD#: 265
MONTPELIER, VT

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".
EI
ELLIS INVESTMENT PARTNERS, LLC
ELLIS INVESTMENT PARTNERS, LLC | SPECTRUM FINANCIAL GROUP INC.

CRD#: 157669 / SEC#: 801-73011

RIA
Registered Investment Advisory firm - (1/6/2012 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/3/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 4/3/1986
Investment Company Products/Variable Contracts Representative Examination

Current Firm

EI
ELLIS INVESTMENT PARTNERS, LLC
ELLIS INVESTMENT PARTNERS, LLC | SPECTRUM FINANCIAL GROUP INC.

CRD#: 157669 / SEC#: 801-73011

RIA
Registered Investment Advisory firm - (1/6/2012 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
920 Cassatt Road 200 Berwyn Park, Suite 115, Berwyn, PA 19312
Mailing Address
Phone number
(484) 320-6300
Established
Firm type
Fiscal year end
# of Employees
23

SEC notice filing (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/11/2025)

Regulatory assets under management

Total Number of Accounts823
AUM (Assets Under Management)$ 916,741,818

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.

Company Information

ELLIS INVESTMENT PARTNERS, LLC

CRD#: 157669

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