Matthew A. Tarini

FOCUSED ALPHA

PHOENIX, AZ 85044

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CRD#: 2566773

Professional summary

Matthew Arthur Tarini, CFP® is a registered financial advisor currently at FOCUSED ALPHA, LLC located in Phoenix, Arizona.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Matthew has worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

OWENS-TARINI, LLC. 15654 S 15th Pl. PHOENIX, AZ 85048; NOT INVESTMENT RELATED; NATURE OF BUSINESS IS LLC FOR RENTAL PROPERTY; POSITION IS OWNER; START DATE 2003; ZERO HOURS PER MONTH SPENT ON BUSINESS; DUTIES ARE TO MANAGE PROPERTY // JTQT, LLC; 15654 S 15th Pl. PHOENIX, AZ 85048; NOT INVESTMENT RELATED; NATURE OF BUSINESS IS LLC FOR RENTAL PROPERTY; POSITION IS OWNER; START DATE 8/11/2011; 1 HR MONTH TIME DEVOTED; NONE DURING TRADING HOURS.DUTIES ARE TO MANAGE PROPERTY // FAMILY LEGACY WELATH MAAGEMENT, LLC. 10429 S 51ST ST., SUITE 245 PHOENIX, AZ 85044. IS INVESTMENT RELATED. NATURE OF BUSINES IS DBA TO OFFER INVESTMENT AND ADVISORY SERVICES. POSITION IS OWNER. STARTED JULY 13, 2009. NUMBER OF HRS SPENT ON BUSINESS 12+/MONTH, WITH 5 DURING SECURITY TRADING HRS. DUTIES ARE ALL DUTIES OF THE DBA, ONLY EMPLOYEE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Arthur Tarini'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: 2006

Experience

Current

October 30, 2024 - Present

FOCUSED ALPHA, LLC

Office #1: 10429 S 51st St #245, Phoenix, AZ 85044

RIA

CRD#: 310591

PHOENIX, AZ

Past

February 25, 2021 - October 22, 2024

NATIONS FINANCIAL GROUP, INC.

RIA

CRD#: 44181

Phoenix, AZ

Past

February 19, 2021 - October 22, 2024

NATIONS FINANCIAL GROUP, INC.

CRD#: 44181

Phoenix, AZ

Past

July 10, 2009 - February 26, 2021

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

PHOENIX, AZ

Past

July 10, 2009 - February 26, 2021

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

PHOENIX, AZ

Past

November 26, 2008 - July 10, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

TEMPE, AZ

Past

January 1, 2008 - July 10, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

TEMPE, AZ

Past

December 10, 2004 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

TEMPE, AZ

Past

September 3, 2003 - September 5, 2003

LPL FINANCIAL LLC

RIA

CRD#: 6413

CHANDLER, AZ

Past

August 29, 2003 - September 5, 2003

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

July 8, 1997 - September 12, 2002

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

TEMPE, AZ

Past

October 3, 1995 - December 16, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

June 22, 1995 - September 15, 1995

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

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".

FOCUSED ALPHA, LLC

FOCUSED ALPHA, LLC | MKF PRIVATE WEALTH MANAGEMENT | GOLDIN WEALTH MANAGEMENT | FOUR CORNERS WEALTH PARTNERS

CRD#: 310591 / SEC#: 801-121367

RIA

Registered Investment Advisory firm - (6/2/2021 Approved)

Colorado

Registered Investment Advisory firm - (10/20/2021 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(10/30/2024)

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: 5/6/2008

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/12/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/27/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/20/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/21/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 3/5/2009

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/21/2009

General Securities Sales Supervisor - General Module Examination

Current Firm

FOCUSED ALPHA, LLC

FOCUSED ALPHA, LLC | MKF PRIVATE WEALTH MANAGEMENT | GOLDIN WEALTH MANAGEMENT | FOUR CORNERS WEALTH PARTNERS

CRD#: 310591 / SEC#: 801-121367

RIA

Registered Investment Advisory firm - (6/2/2021 Approved)

Colorado

Registered Investment Advisory firm - (10/20/2021 Terminated)

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Contact information

Main Address

1401 Lawrence Street Suite 1600, Denver, CO 80202

Mailing Address

Phone number

(303) 529-5100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FOCUSED ALPHA WRAP BROCHURE (3/12/2025)

FOCUSED ALPHA ADV PART 2A (3/12/2025)

Regulatory assets under management

Total Number of Accounts	1,481
AUM (Assets Under Management)	$ 561,944,040

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 A. Tarini

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Arthur Tarini's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONS FINANCIAL GROUP, INC.

NATIONS FINANCIAL GROUP, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

INTERFIRST CAPITAL CORPORATION

Primary Firm SEC Registration

FOCUSED ALPHA, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/6/2008

Series 65

Date: 10/12/1995

Series 63

Date: 6/27/1995

SIE

Date: 10/1/2018

Series 31

Date: 3/20/2004

Series 7

Date: 6/21/1995

Series 9

Date: 3/5/2009

Series 10

Date: 1/21/2009

Current Firm

FOCUSED ALPHA, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOCUSED ALPHA, LLC

TRUST BUT VERIFY

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