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MS

Matthew J. Sodl

INNOVATION CAPITAL
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 2868101
MS

Professional summary

Matthew Joseph Sodl, who also goes by Matt Sodl, is a registered financial professional currently at INNOVATION CAPITAL, LLC located in Boca Raton, Florida.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 1997. Matthew has worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Matt Sodl

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) - BD

Click below to view Matthew Joseph Sodl'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®
None

Experience

Current

May 17, 2005 - Present

INNOVATION CAPITAL, LLC

Office #1: 2255 Glades Road, Suit 324a, Boca Raton, FL 33431Office #2: 2255 Glades Road Suite 324a, Boca Raton, FL 33431
BD
CRD#: 133551
Boca Raton, FL
Past

June 2, 2004 - May 8, 2008

GT SECURITIES, INC.

BD
CRD#: 116012
LOS ANGELES, CA
Past

August 30, 2001 - November 17, 2003

MURPHY NOELL CAPITAL, LLC

BD
CRD#: 103868
WESTLAKE VILLAGE, CA
Past

September 18, 1997 - July 18, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

April 9, 1997 - September 9, 1997

SCHRODER & CO. INC.

BD
CRD#: 6112
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(5/17/2005)
RR
Colorado
(9/12/2005)
RR
Florida
(5/17/2021)
RR
Illinois
(7/12/2022)
RR
Iowa
(7/9/2013)
RR
Texas
(8/18/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 7/18/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/8/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/22/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

IC
INNOVATION CAPITAL, LLC
INNOVATION CAPITAL, LLC

CRD#: 133551 / SEC#: , 8-66734

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
2255 Glades Road Suite 324a, Boca Raton, FL 33431
Mailing Address
2255 Glades Road Suite 324a, Boca Raton, FL 33431
Phone number
(561) 725-0702
Established
Louisiana since 02/16/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
INNOVATION CAPITAL HOLDING, LLCSHAREHOLDER
SODL, MATTHEW JOSEPHPRESIDENT, CCO, AML-CO2868101
THORNTON, STEVEN LEEFINOP4496384
THORNTON, STEVEN LEEPRINCIPAL4496384

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.

Company Information

INNOVATION CAPITAL, LLC

CRD#: 133551Boca Raton, FL 33431

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