Matthew M. Lara
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Matthew Max Lara, CFP® was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1997. Matthew had worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2020 - March 24, 2021
USAA INVESTMENT SERVICES COMPANY
January 8, 2018 - March 24, 2021
USAA INVESTMENT SERVICES COMPANY
February 9, 2009 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
February 9, 2009 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
September 21, 2007 - December 19, 2008
USAA FINANCIAL ADVISORS, INC.
December 20, 2006 - February 10, 2009
USAA INVESTMENT SERVICES COMPANY
December 20, 2006 - February 10, 2009
USAA INVESTMENT SERVICES COMPANY
January 2, 2004 - December 20, 2006
USAA FINANCIAL ADVISORS, INC.
May 20, 2002 - December 20, 2006
USAA FINANCIAL PLANNING SERVICES
September 24, 1997 - December 31, 2003
USAA INVESTMENT SERVICES COMPANY
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 11/28/2022
General Securities Representative ExaminationCurrent Firm
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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