Mathew C. Lepak

FLAHARTY ASSET MANAGEMENT

Punta Gorda, FL 33950

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CRD#: 2606121

Professional summary

Mathew Christopher Lepak, who also goes by Mathew Christopher Lepak, is a registered financial advisor currently at FLAHARTY ASSET MANAGEMENT, LLC located in Punta Gorda, Florida and LPL FINANCIAL LLC located in Punta Gorda, Florida.

Mathew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Mathew has worked at 11 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mathew Christopher Lepak

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.

1. 11/05/2020 Flaharty Asset Management LLC- At Reported Business Location(s) -Investment Related DBA for LPL Business (entity for LPL business)-Start Date 11/01/2020-160 hours per month/ 160 hours during trading. 2. 11/1/2020 Flaharty Asset Management, LLC-311 Park Place, Suite 150, Clearwater, FL 33759-Investment Related Registered Investment Adviser Hybrid-Provide financial plans or advice for hourly and/or fixed fees-8 hours during trading; 3. 04/08/2021 Flaharty Insurance LLC - Investment Related At Reported Business Location(s)- Non-Variable Insurance-Start Date 11/01/2020-5 hours per month/ 1 hours during trading. 4. 04/25/2022 - Nautilus Wealth Management - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date - 01/10/2022 - 1 Hours Per Month/ 0 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mathew Christopher Lepak'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®

None

Experience

Current

December 14, 2020 - Present

FLAHARTY ASSET MANAGEMENT, LLC

Office #1: 122 Nesbit Street Suite 112, Punta Gorda, FL 33950

RIA

CRD#: 168495

Punta Gorda, FL

Current

August 3, 2020 - Present

LPL FINANCIAL LLC

Office #1: 122 Nesbit St Ste 112, Punta Gorda, FL 33950

RIA

CRD#: 6413

PUNTA GORDA, FL

Past

August 20, 2020 - December 11, 2020

PRIVATE ADVISOR GROUP, LLC

RIA

CRD#: 155216

Punta Gorda, FL

Past

February 23, 2017 - August 27, 2020

MY FRIEND IN FINANCE, LLC

RIA

CRD#: 286181

NOKOMIS, FL

Past

April 5, 2016 - December 14, 2016

CI DOYLE PRIVATE WEALTH, LLC

RIA

CRD#: 134503

ST. PETERSBURG, FL

Past

November 2, 2012 - February 28, 2014

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

PUNTA GORDA, FL

Past

September 28, 2012 - February 28, 2014

CHARLES SCHWAB & CO., INC.

CRD#: 5393

PUNTA GORDA, FL

Past

February 29, 2012 - April 19, 2012

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SARASOTA, FL

Past

March 15, 2007 - July 17, 2008

T. ROWE PRICE ADVISORY SERVICES, INC.

RIA

CRD#: 108958

BOCA RATON, FL

Past

March 15, 2007 - July 17, 2008

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

BOCA RATON, FL

Past

June 27, 2003 - February 1, 2006

TD AMERITRADE, INC.

RIA

CRD#: 7870

VERO BEACH, FL

Past

September 18, 1995 - February 1, 2006

TD AMERITRADE, INC.

CRD#: 7870

VERO BEACH, FL

Past

August 16, 1995 - August 17, 1995

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

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".

FLAHARTY ASSET MANAGEMENT, LLC

CRD#: 168495 / SEC#: 801-78437

RIA

Registered Investment Advisory firm - (8/27/2013 Approved)

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.

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

Alabama
(11/13/2023)

California
(11/30/2020)

Colorado
(3/9/2022)

Connecticut
(6/16/2023)

Delaware
(12/8/2021)

Florida
(8/3/2020)

IAR

Florida
(12/14/2020)

Georgia
(4/27/2021)

Illinois
(11/14/2023)

Indiana
(11/30/2020)

Kentucky
(7/28/2021)

Maine
(11/13/2023)

Maryland
(11/30/2020)

Massachusetts
(11/30/2020)

Michigan
(11/30/2020)

Minnesota
(3/1/2022)

New Hampshire
(4/23/2021)

New Jersey
(4/23/2021)

New York
(5/29/2025)

North Carolina
(12/1/2020)

Ohio
(4/25/2021)

Pennsylvania
(7/31/2024)

Rhode Island
(8/27/2021)

South Carolina
(1/5/2021)

Texas
(12/8/2021)

Utah
(7/31/2024)

Vermont
(11/13/2023)

Virginia
(2/23/2021)

Washington
(2/23/2021)

Wisconsin
(4/23/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/10/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/21/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/12/2012

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/3/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/27/2020

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/28/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/26/2007

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 4/6/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

FLAHARTY ASSET MANAGEMENT, LLC

CRD#: 168495 / SEC#: 801-78437

RIA

Registered Investment Advisory firm - (8/27/2013 Approved)

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Contact information

Main Address

311 Park Place Blvd. Suite 150, Clearwater, FL 33759

Mailing Address

Phone number

(727) 252-1050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE (3/28/2025)

DISCLOSURE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,121
AUM (Assets Under Management)	$ 809,577,048

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Mathew C. Lepak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mathew Christopher Lepak's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

PRIVATE ADVISOR GROUP, LLC

MY FRIEND IN FINANCE, LLC

CI DOYLE PRIVATE WEALTH, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MSI FINANCIAL SERVICES, INC.

T. ROWE PRICE ADVISORY SERVICES, INC.

T. ROWE PRICE INVESTMENT SERVICES, INC.

TD AMERITRADE, INC.

TD AMERITRADE, INC.

GRUNTAL & CO., L.L.C.

Primary Firm SEC Registration

FLAHARTY ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/10/2020

Series 65

Date: 3/21/2016

Series 66

Date: 10/12/2012

Series 7TO

Date: 8/3/2020

SIE

Date: 7/27/2020

Series 7

Date: 6/28/1995

Series 24

Date: 6/26/2007

Series 8

Date: 4/6/1998

FINRA

Current Firm

FLAHARTY ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FLAHARTY ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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