Matthew J. Marcus

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CRD#: 2390694

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 Jeffrey Marcus was a registered financial advisor .

Matthew is a previously registered financial advisor and started their career in finance in 1993. Matthew had worked at 5 firms and has passed the Series 66, Series 63, Series 65, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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

October 7, 2010 - February 28, 2011

G.W. SHERWOLD ASSOCIATES, INC

RIA

CRD#: 42186

LAKE FOREST, CA

Past

October 1, 2010 - February 28, 2011

G.W. SHERWOLD ASSOCIATES, INC

CRD#: 42186

LAKE FOREST, CA

Past

March 6, 2007 - July 24, 2008

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

LOS ANGELES, CA

Past

August 6, 2001 - October 2, 2006

SYNERGY INVESTMENT GROUP, LLC

CRD#: 46035

SANTA ANA, CA

Past

March 23, 1994 - January 30, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

November 15, 1993 - March 30, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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".

G.W. SHERWOLD ASSOCIATES, INC

G.W. SHERWOLD ASSOCIATES, INC | SHERWOLD G W ASSOCIATES INC | G.W. SHERWOLD ASSOCIATES, INC.

CRD#: 42186 / SEC#: 801-118949, 8-49740

RIA

Registered Investment Advisory firm - SEC (6/19/2020 Approved)

California

Registered Investment Advisory firm - SEC (7/19/2020 Terminated)

Texas

Registered Investment Advisory firm - SEC (6/19/2020 Terminated)

Broker-Dealer Firm Regulated by FINRA (Los Angeles 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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/6/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/25/2001

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/30/2001

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 9/29/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/6/2003

General Securities Principal Examination

Current Firm

G.W. SHERWOLD ASSOCIATES, INC

G.W. SHERWOLD ASSOCIATES, INC | SHERWOLD G W ASSOCIATES INC | G.W. SHERWOLD ASSOCIATES, INC.

CRD#: 42186 / SEC#: 801-118949, 8-49740

RIA

Registered Investment Advisory firm - SEC (6/19/2020 Approved)

California

Registered Investment Advisory firm - SEC (7/19/2020 Terminated)

Texas

Registered Investment Advisory firm - SEC (6/19/2020 Terminated)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

22994 El Toro Road, Lake Forest, CA 92630

Mailing Address

22994 El Toro Road, Lake Forest, CA 92630

Phone number

(949) 470-0700

Established

California since 04/14/1994

Firm type

Corporation

Fiscal year end

January

Firm Size

Small

# of Employees

SEC notice filing (3 States and Territories)

FINRA licenses (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

G.W. SHERWOLD ASSOCIATES, INC. PART 2 A & B (4/29/2025)

Direct owners and executive officers

Name	Position	CRD#
SHERWOLD, GARY WILLIAM	PRESIDENT & CHIEF COMPLIANCE OFFICER	1353782

Regulatory assets under management

Total Number of Accounts	689
AUM (Assets Under Management)	$ 455,358,654

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.

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Advisor Monitoring

Firm Stability Insights

Matthew J. Marcus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

G.W. SHERWOLD ASSOCIATES, INC

FIS BROKERAGE & SECURITIES SERVICES LLC

SYNERGY INVESTMENT GROUP, LLC

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

G.W. SHERWOLD ASSOCIATES, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/6/2010

Series 63

Date: 9/25/2001

Series 65

Date: 8/30/2001

Series 7

Date: 9/29/2010

Series 24

Date: 6/6/2003

Current Firm

G.W. SHERWOLD ASSOCIATES, INC

Contact information

SEC notice filing (3 States and Territories)

FINRA licenses (10 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

G.W. SHERWOLD ASSOCIATES, INC

TRUST BUT VERIFY

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