MM
Matthew E. Mccarter
REGAL INVESTMENT ADVISORS LLC
Exton, PA 19341
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CRD#: 2436111
MM
Professional summary
Matthew Eugene Mccarter, who also goes by Matt Mccarter, Matthew E Mccarter, is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Exton, Pennsylvania and REGULUS FINANCIAL GROUP, LLC located in Exton, Pennsylvania.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Matthew has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matt Mccarter | Matthew E Mccarter
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.
Business Name: College Planning Network - Investment Related: No - Address: 120 Arrandale Blvd, Exton, PA - Nature of Business: College planning services - Title or Relationship: COO; Owner - Start Date: 3/1/2019 - Hours per month: 30 - Hours per month during trading hours: 30 - Duties: Manage business operations Business Name: Paradigm Financial Group - Investment Related: Yes - Address: 120 Arrandale Blvd, Exton, PA - Nature of Business: Registered Rep Activities through Regulus Financial Group, LLC using a DBA name; Insurance - Title or Relationship: COO, Owner - Start Date: 5/01/2023 - Hours per month: 120 - Hours per month during trading hours: 80 - Duties: Provide financial and insurance services. Business Name: McCarter Kozak Agency - Investment Related: No - Address: 120 Arrandale Blvd, Exton, PA - Nature of Business: Property & Casualty Insurance Agent - Title or Relationship: License Only Agent (P&C) - Start Date: 06/01/2012 - Hours per month: 40 - Hours per month during trading hours: 40 - Duties: Refer Business to agency to address client property and casualty business only. Business Name: Elite Collegiate Planning - Investment Related: No - Address: 120 Arrandale Blvd, Exton, PA - Nature of Business: College planning services - Title or Relationship: COO; Owner - Start Date: 4/1/2013 - Hours per month: 30 - Hours per month during trading hours: 30 - Duties: Manage business operations
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Eugene Mccarter'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
October 27, 2025 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: 120 Arrandale Blvd, Exton, PA 19341RIA
CRD#: 125004
Exton, PA
Current
December 2, 2022 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: 120 Arrandale Blvd, Exton, PA 19341BD
CRD#: 150631
Exton, PA
Past
March 24, 2014 - November 30, 2022
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
CHESTER SPRINGS, PA
Past
April 20, 2004 - September 11, 2012
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
COLLEGEVILLE, PA
Past
February 24, 2003 - April 29, 2004
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
February 16, 1999 - January 3, 2003
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
August 13, 1996 - February 16, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
August 14, 1995 - August 5, 1996
SIMON SECURITIES, INC.
BD
CRD#: 16746
COLLINGSWOOD, NJ
Past
April 29, 1994 - July 31, 1995
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
January 18, 1994 - April 29, 1994
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
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".
RI
REGAL INVESTMENT ADVISORS LLC
DURAND CAPITAL PARTNERS, LLC | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | LIONSHARE
CRD#: 125004 / SEC#: 801-71923
RIA
Registered Investment Advisory firm - (10/19/2010 Approved)Alaska
Registered Investment Advisory firm - (10/21/2010 Terminated)Florida
Registered Investment Advisory firm - (10/21/2010 Terminated)Indiana
Registered Investment Advisory firm - (10/21/2010 Terminated)Michigan
Registered Investment Advisory firm - (11/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - (10/22/2010 Terminated)Nebraska
Registered Investment Advisory firm - (10/21/2010 Terminated)North Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)Ohio
Registered Investment Advisory firm - (10/21/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/22/2010 Terminated)South Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)South Dakota
Registered Investment Advisory firm - (10/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (10/21/2010 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
Colorado(8/28/2025)
RR
Delaware(12/2/2022)
RR
Florida(12/2/2022)
RR
New Jersey(12/2/2022)
RR
Ohio(12/2/2022)
RR
Pennsylvania(12/2/2022)
IAR
Pennsylvania(10/27/2025)
RR
Texas(11/1/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RI
REGAL INVESTMENT ADVISORS LLC
DURAND CAPITAL PARTNERS, LLC | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | LIONSHARE
CRD#: 125004 / SEC#: 801-71923
RIA
Registered Investment Advisory firm - (10/19/2010 Approved)Alaska
Registered Investment Advisory firm - (10/21/2010 Terminated)Florida
Registered Investment Advisory firm - (10/21/2010 Terminated)Indiana
Registered Investment Advisory firm - (10/21/2010 Terminated)Michigan
Registered Investment Advisory firm - (11/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - (10/22/2010 Terminated)Nebraska
Registered Investment Advisory firm - (10/21/2010 Terminated)North Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)Ohio
Registered Investment Advisory firm - (10/21/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/22/2010 Terminated)South Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)South Dakota
Registered Investment Advisory firm - (10/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (10/21/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2687 44th Street Se, Kentwood, MI 49512
Mailing Address
Phone number
(616) 224-2204
Established
Firm type
Fiscal year end
# of Employees
118
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,303 |
| AUM (Assets Under Management) | $ 2,447,941,075 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/06/2023 | ||
| 12/06/2023 | ||
| 12/06/2023 |
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.
