MH
Matthew D. Hickey
CAPITAL ASSET MANAGEMENT
Denver, CO 80202
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CRD#: 1538384
MH
Professional summary
Matthew David Hickey is a registered financial advisor currently at CAPITAL ASSET MANAGEMENT, LLC located in Denver, Colorado and CETERA ADVISORS LLC located in Denver, Colorado.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Matthew has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. JGMJ, LLC; OWNER; REAL ESTATE; START DATE 07/01/2015; 0 HOURS PER MONTH. 2. CAPITAL ASSET MANAGEMENT, LLC; SOLE PROP; DBA; START DATE: 06/01/1986; 4 HOURS PER MONTH. 3. CAPITAL ASSET MANAGEMENT, LLC; OWNER; REGISTERED INVESTMENT ADVISOR; START DATE: 04/01/2014; 160 HOURS PER MONTH. 4. NAME OF OTHER BUSINESS: ORCHARD DRIVE HOA; INVESTMENT RELATED: NO; ADDRESS: 5950 S OGDEN CT CENTENNIAL, CO 80121; NATURE OF BUSINESS: HOME OWNERS ASSOCIATION; START DATE: 06/2023; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: ARRANGE ANNUAL MEETINGS, ENSURE MEETING MINUTES ARE TAKEN BY SECRETARY; 5. NAME OF OTHER BUSINESS: RIVERSIDE CLUB COMPANY; INVESTMENT RELATED: NO; ADDRESS: ORCHARD, CO 80649; NATURE OF BUSINESS: NON PROFIT; START DATE: 09/2025; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ASSIST IN THE GENERAL DIRECTION OF THE CLUB, WATERFOWL HUNTING;
CRS (Client Relationship Summary) - RIA
Click below to view Matthew David Hickey'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
August 17, 2016 - Present
CAPITAL ASSET MANAGEMENT, LLC
Office #1: 1800 Glenarm Place Suite 703, Denver, CO 80202RIA
CRD#: 284505
Denver, CO
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 1800 Glenarm Place Suite 703, Denver, CO 80202BD
CRD#: 10299
Denver, CO
Past
July 2, 2012 - December 12, 2019
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
Denver, CO
Past
May 14, 2008 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
DENVER, CO
Past
May 14, 2008 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
DENVER, CO
Past
March 3, 2004 - May 15, 2008
CETERA ADVISORS LLC
RIA
CRD#: 10299
DENVER, CO
Past
April 9, 1999 - December 31, 2003
CETERA ADVISORS LLC
RIA
CRD#: 10299
DENVER, CO
Past
May 20, 1998 - May 15, 2008
CETERA ADVISORS LLC
BD
CRD#: 10299
DENVER, CO
Past
October 1, 1997 - June 1, 1998
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
August 28, 1992 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
BD
CRD#: 5178
FORT WAYNE, IN
Past
November 19, 1989 - February 20, 1992
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
May 14, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
August 25, 1986 - May 19, 1987
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
BD
CRD#: 5178
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".
CA
CAPITAL ASSET MANAGEMENT, LLC
CAPITAL ASSET MANAGEMENT, LLC | INTEGRATED FINANCIAL ARCHITECTS, LLC
CRD#: 284505 / SEC#: 801-123577
RIA
Registered Investment Advisory firm - (4/5/2022 Approved)Colorado
Registered Investment Advisory firm - (4/12/2022 Terminated)Idaho
Registered Investment Advisory firm - (12/3/2021 Terminated)Louisiana
Registered Investment Advisory firm - (4/12/2022 Terminated)Texas
Registered Investment Advisory firm - (4/8/2022 Terminated)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
Arizona(9/8/2022)
IAR
Colorado(8/17/2016)
RR
Colorado(9/8/2022)
RR
Florida(3/15/2024)
RR
Hawaii(1/2/2024)
IAR
Louisiana(6/24/2019)
RR
Louisiana(9/8/2022)
RR
Michigan(1/2/2024)
RR
Nevada(9/8/2022)
RR
Oregon(9/8/2022)
RR
South Carolina(3/15/2024)
IAR
Texas(9/6/2017)
RR
Texas(9/8/2022)
RR
Wyoming(4/21/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CAPITAL ASSET MANAGEMENT, LLC
CAPITAL ASSET MANAGEMENT, LLC | INTEGRATED FINANCIAL ARCHITECTS, LLC
CRD#: 284505 / SEC#: 801-123577
RIA
Registered Investment Advisory firm - (4/5/2022 Approved)Colorado
Registered Investment Advisory firm - (4/12/2022 Terminated)Idaho
Registered Investment Advisory firm - (12/3/2021 Terminated)Louisiana
Registered Investment Advisory firm - (4/12/2022 Terminated)Texas
Registered Investment Advisory firm - (4/8/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1800 Glenarm Place Suite 703, Denver, CO 80202
Mailing Address
Phone number
(303) 832-7770
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 369 |
| AUM (Assets Under Management) | $ 189,564,727 |
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.
