Matthew D. Sams
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 Dennis Sams, CFP®, ChFC®, CLU®, who also goes by Matthew D Sams, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1994. Matthew had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1999
Experience
June 2, 2022 - January 12, 2026
OXFORD WEALTH GROUP, LLC
August 6, 1997 - May 12, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
August 6, 1997 - July 3, 2006
IDS LIFE INSURANCE COMPANY
August 6, 1997 - May 12, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
February 26, 1996 - August 29, 1997
IAC SECURITIES, INC.
April 25, 1994 - December 31, 1995
FIRST MONTAUK SECURITIES CORP.
Primary Firm SEC Registration
OXFORD WEALTH GROUP, LLC
CRD#: 319561 / SEC#: 801-124718
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
OXFORD WEALTH GROUP, LLC
CRD#: 319561 / SEC#: 801-124718
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,456 |
| AUM (Assets Under Management) | $ 235,855,871 |
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.
