JM
Jay C. Matthews
CETERA INVESTMENT ADVISERS LLC
GRAND FORKS, ND 58201
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CRD#: 2734702
JM
Professional summary
Jay Charles Matthews, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Grand Forks, North Dakota and CETERA WEALTH SERVICES, LLC located in Grand Forks, North Dakota.
Jay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Jay has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 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.
1) (dba) JAY C. MATTHEWS INSURANCE & INVESTMENTS; Investment Related; 818 Main Avenue, Suite 3, Fargo ND 58103; Insurance; Owner/Producer; Start Date 06/1985; 4 hours per month with 1 of those hours occurring during trading hours; Sales and service of fixed life and annuity insurance products. >> 2) (dba) CAPITAL RESOURCE MANAGEMENT; Investment Related; 3001 B 32nd Avenue South, Grand Forks ND 58201; Insurance and Investments; Owner; Start Date 05/2016; 60 hours per month with 40 of those hours occurring during trading hours; Offer sales and service of insurance and investment products as well as financial planning services. >> 3) TRUSTEE OF DAVID J EVENSON FAMILY; Non-Investment related; 3001 B 32nd Avenue South, Grand Forks ND 58201; Trust; Trustee; Start Date 03/2017; 1 hour per month during trading hours; Trustee to deceased friend. Handle payment of trust income to trust beneficiary. When trust target dates are met, I will handle the dissolution of the trust. >> 4) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 12/1984; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;
CRS (Client Relationship Summary) - RIA
Click below to view Jay Charles Matthews'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®
CFP®
Start date: 1992
Experience
Current
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3001b 32nd Avenue South Suite 3, Grand Forks, ND 58201Office #2: 4650 38th Ave S Suite 120, Fargo, ND 58104RIA
CRD#: 105644
GRAND FORKS, ND
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3001b 32nd Avenue South Suite 3, Grand Forks, ND 58201Office #2: 4650 38th Ave S Suite 120, Fargo, ND 58104BD
CRD#: 13572
Grand Forks, ND
Past
August 22, 2011 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Fargo, ND
Past
August 12, 2011 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Fargo, ND
Past
November 29, 2004 - September 9, 2011
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
FARGO, ND
Past
November 19, 2004 - September 9, 2011
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
FARGO, ND
Past
June 20, 2001 - December 14, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
FARGO, ND
Past
August 2, 1996 - December 14, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
May 3, 1996 - August 2, 1996
ASSOCIATED FINANCIAL SERVICES, INC.
BD
CRD#: 1121
FARGO, ND
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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
Arizona(2/20/2025)
RR
California(2/20/2025)
RR
Colorado(2/20/2025)
RR
Florida(2/20/2025)
RR
Hawaii(2/20/2025)
RR
Idaho(2/20/2025)
RR
Illinois(2/20/2025)
RR
Maryland(2/20/2025)
RR
Michigan(2/20/2025)
RR
Minnesota(2/20/2025)
RR
Montana(2/20/2025)
RR
Nebraska(2/20/2025)
RR
Nevada(2/20/2025)
RR
North Carolina(2/20/2025)
RR
North Dakota(2/20/2025)
IAR
North Dakota(2/20/2025)
RR
Ohio(2/20/2025)
RR
South Carolina(2/20/2025)
RR
South Dakota(2/20/2025)
RR
Texas(2/20/2025)
IAR
Texas(4/1/2025)
RR
Virginia(2/20/2025)
RR
Washington(2/20/2025)
RR
Wisconsin(2/20/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
