Matthew E. Bragg

SMITH, MOORE & CO.

Moberly, MO 65270

Some features on this profile are disabled

CRD#: 2279799

Professional summary

Matthew Edward Bragg, CFP®, who also goes by Matt Bragg, Matthew Edward Bragg Sr, is a registered financial advisor currently at SMITH, MOORE & CO. located in Moberly, Missouri.

Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Matthew has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Matt Bragg | Matthew Edward Bragg Sr

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) - RIA

Click below to view Matthew Edward Bragg's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Matthew Edward Bragg's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

April 29, 2021 - Present

SMITH, MOORE & CO.

Office #1: 520 North Morley Street Suite E, Moberly, MO 65270

RIA

CRD#: 3441

Moberly, MO

Current

April 29, 2021 - Present

SMITH, MOORE & CO.

Office #1: 520 North Morley Street Suite E, Moberly, MO 65270

RIA

CRD#: 3441

Moberly, MO

Past

November 29, 2017 - May 18, 2021

LPL FINANCIAL LLC

RIA

CRD#: 6413

MARCELINE, MO

Past

November 29, 2017 - May 18, 2021

LPL FINANCIAL LLC

CRD#: 6413

MARCELINE, MO

Past

November 27, 2015 - November 29, 2017

INVESTMENT CENTERS OF AMERICA, INC.

RIA

CRD#: 16443

Moberly, MO

Past

November 27, 2015 - November 29, 2017

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

Moberly, MO

Past

July 14, 2011 - December 9, 2015

OSAIC SERVICES, INC.

RIA

CRD#: 133763

MOBERLY, MO

Past

July 5, 2011 - December 9, 2015

OSAIC SERVICES, INC.

CRD#: 133763

MOBERLY, MO

Past

May 19, 2004 - July 5, 2011

SPECTRUM CAPITAL, LLC

RIA

CRD#: 28303

MOBERLY, MO

Past

June 23, 2000 - July 5, 2011

SPECTRUM CAPITAL, LLC

CRD#: 28303

MOBERLY, MO

Past

July 5, 1996 - June 23, 2000

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

April 22, 1996 - July 1, 1996

MARKET STREET SECURITIES, INC.

CRD#: 32519

Past

August 28, 1995 - April 1, 1996

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

January 6, 1995 - August 25, 1995

TRADESTAR INVESTMENTS,INC.

CRD#: 14565

HOUSTON, TX

Past

August 17, 1993 - September 25, 1993

INFINET SECURITIES, INC.

CRD#: 25976

Past

October 15, 1992 - March 9, 1993

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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".

SMITH, MOORE & CO.

SMITH MOORE & CO. | THE SEVENS ADVISORY GROUP | SMITH, MOORE & CO.

CRD#: 3441 / SEC#: 801-68175, 8-27480

RIA

Registered Investment Advisory firm - SEC (8/8/2007 Approved)

Mississippi

Registered Investment Advisory firm - SEC (5/1/2025 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Alabama
(7/16/2021)

Arkansas
(1/8/2024)

Colorado
(5/15/2023)

Florida
(4/29/2021)

Georgia
(3/5/2025)

Illinois
(7/16/2021)

Indiana
(4/7/2023)

Kansas
(4/29/2021)

Missouri
(4/29/2021)

IAR

Missouri
(4/29/2021)

Oklahoma
(4/29/2021)

South Carolina
(6/12/2023)

South Dakota
(7/20/2023)

Texas
(4/29/2021)

Wyoming
(4/29/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/12/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/16/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/13/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/14/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SMITH, MOORE & CO.

SMITH MOORE & CO. | THE SEVENS ADVISORY GROUP | SMITH, MOORE & CO.

CRD#: 3441 / SEC#: 801-68175, 8-27480

RIA

Registered Investment Advisory firm - SEC (8/8/2007 Approved)

Mississippi

Registered Investment Advisory firm - SEC (5/1/2025 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

7777 Bonhomme Ave., Suite 2400 Suite 2400, Clayton, MO 63105

Mailing Address

7777 Bonhomme Ave., Suite 2400, Clayton, MO 63105

Phone number

(314) 727-5225

Established

Missouri since 12/23/1981

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (36 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SMITH MOORE BROCHURE 03-31-2025 (3/31/2025)

WRAP PROGRAM BROCHURE 03-31-2025 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
DEUTSCH, STEWART JAMES JR	PRESIDENT, CHIEF EXECTIVE OFFICER, DIRECTOR	2537447
SCHULTE, TIMOTHY EUGENE	CHAIRMAN OF THE BOARD, DIRECTOR	1869986
RHYNER, RANDALL PAUL	EXECUTIVE VICE PRESIDENT, DIRECTOR	2443274
SCHMIDT, KENT CHARLES	EXECUTIVE VICE PRESIDENT, DIRECTOR	2153325
BRAGG, MATTHEW EDWARD	EXECUTIVE VICE PRESIDENT, SECRETARY, DIRECTOR	2279799
BRODY, AMY LYNN	CHIEF FINANCIAL OFFICER, FINOP	6486826
KRAFT, BARBARA ANN	CHIEF OPERATING OFFICER	1225082
MORAN, DANIEL PATRICK	CHIEF TECHNOLOGY OFFICER	2685632
PERRYMAN, JARET DALIN	CHIEF COMPLIANCE OFFICER	3034594

Regulatory assets under management

Total Number of Accounts	5,353
AUM (Assets Under Management)	$ 2,008,286,156

Disclosures

Regulatory Event	7
Arbitration	2

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.

Similar Advisors

Eric Ellis

ELLIS FINANCIAL PLANNING

IAR

CLARKSVILLE, TN

Chad Lawyer

LIFE STRATEGY PARTNERS

IAR

TUCSON, AZ

Natalia Avila

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

SANTA CLARITA, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Matthew E. Bragg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Edward Bragg's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Matthew Edward Bragg's CRS (Customer Relationship Summary).

Certified licenses

Experience

SMITH, MOORE & CO.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVESTMENT CENTERS OF AMERICA, INC.

INVESTMENT CENTERS OF AMERICA, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SPECTRUM CAPITAL, LLC

SPECTRUM CAPITAL, LLC

CETERA INVESTMENT SERVICES LLC

MARKET STREET SECURITIES, INC.

A. G. EDWARDS & SONS, INC.

TRADESTAR INVESTMENTS,INC.

INFINET SECURITIES, INC.

WADDELL & REED

Primary Firm SEC Registration

SMITH, MOORE & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/12/1992

SIE

Date: 10/1/2018

Series 7

Date: 8/16/1993

Series 6

Date: 10/13/1992

Series 24

Date: 7/14/2023

FINRA

Current Firm

SMITH, MOORE & CO.

Contact information

SEC notice filing (36 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SMITH, MOORE & CO.

TRUST BUT VERIFY

Similar Advisors