Matthew D. Sample

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CRD#: 2492668

Professional summary

Matthew Dale Sample was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Matthew is a previously registered financial advisor and started their career in finance in 1994. Prior to being barred, Matthew had worked at 4 firms, which includes MEASURED RISK PORTFOLIOS, VTRADER PRO LLC, SAMPLE & CROSS CAPITAL MANAGEMENT LLC, UBS FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Matt Sample

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

August 30, 2012 - April 23, 2014

MEASURED RISK PORTFOLIOS

RIA

CRD#: 141422

SAN DIEGO, CA

Past

August 28, 2007 - July 29, 2010

VTRADER PRO, LLC

CRD#: 131920

SAN FRANCISCO, CA

Past

March 23, 2006 - April 2, 2008

SAMPLE & CROSS CAPITAL MANAGEMENT LLC

RIA

CRD#: 139683

LAKE FOREST, IL

Past

February 10, 1999 - March 29, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BARRINGTON, IL

Past

July 29, 1994 - March 29, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BARRINGTON, IL

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".

MEASURED RISK PORTFOLIOS

KINGSROAD FINANCIAL & INSURANCE SERVICES | MEASURED RISK PORTFOLIOS, INC. | MEASURED RISK PORTFOLIOS | KINGSROAD FINANCIAL INSURANCE SERVICES, INC.

CRD#: 141422 / SEC#: 801-80124

RIA

Registered Investment Advisory firm - (8/14/2014 Approved)

California

Registered Investment Advisory firm - (10/3/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (9/4/2014 Terminated)

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 65

Date: 8/15/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/15/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/28/1994

General Securities Representative Examination

Current Firm

MEASURED RISK PORTFOLIOS

KINGSROAD FINANCIAL & INSURANCE SERVICES | MEASURED RISK PORTFOLIOS, INC. | MEASURED RISK PORTFOLIOS | KINGSROAD FINANCIAL INSURANCE SERVICES, INC.

CRD#: 141422 / SEC#: 801-80124

RIA

Registered Investment Advisory firm - (8/14/2014 Approved)

California

Registered Investment Advisory firm - (10/3/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (9/4/2014 Terminated)

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Contact information

Main Address

5230 Carroll Canyon Road #224, San Diego, CA 92121

Mailing Address

Phone number

(858) 935-1125

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,456
AUM (Assets Under Management)	$ 399,968,279

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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Matthew D. Sample

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MEASURED RISK PORTFOLIOS

VTRADER PRO, LLC

SAMPLE & CROSS CAPITAL MANAGEMENT LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

MEASURED RISK PORTFOLIOS

State Registrations and Notice Filings

Exams

Series 65

Date: 8/15/1994

Series 63

Date: 8/15/1994

Series 7

Date: 7/28/1994

Current Firm

MEASURED RISK PORTFOLIOS

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MEASURED RISK PORTFOLIOS

TRUST BUT VERIFY

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