Matthew J. Dowal

Some features on this profile are disabled

CRD#: 3027272

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 John Dowal was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 1998. Matthew had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 22, 2011 - November 28, 2012

WILLIAM O'NEIL + COMPANY

RIA

CRD#: 152620

BOSTON, MA

Past

November 24, 2009 - March 25, 2011

ATM

CRD#: 137211

NEW YORK, NY

Past

October 26, 1998 - July 5, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

March 26, 1998 - October 16, 1998

WESTAMERICA INVESTMENT GROUP

CRD#: 6626

SCOTTSDALE, AZ

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".

WILLIAM O'NEIL + COMPANY

WILLIAM O'NEIL + CO. INCORPORATED | WILLIAM O'NEIL + COMPANY

CRD#: 152620 / SEC#: 801-120403

RIA

Registered Investment Advisory firm - (2/26/2021 Approved)

California

Registered Investment Advisory firm - (5/4/2021 Terminated)

Connecticut

Registered Investment Advisory firm - (4/21/2020 Terminated)

Florida

Registered Investment Advisory firm - (4/20/2020 Terminated)

New York

Registered Investment Advisory firm - (3/1/2021 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.

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 3/21/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/30/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/22/2009

General Securities Representative Examination

Current Firm

WILLIAM O'NEIL + COMPANY

WILLIAM O'NEIL + CO. INCORPORATED | WILLIAM O'NEIL + COMPANY

CRD#: 152620 / SEC#: 801-120403

RIA

Registered Investment Advisory firm - (2/26/2021 Approved)

California

Registered Investment Advisory firm - (5/4/2021 Terminated)

Connecticut

Registered Investment Advisory firm - (4/21/2020 Terminated)

Florida

Registered Investment Advisory firm - (4/20/2020 Terminated)

New York

Registered Investment Advisory firm - (3/1/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

12655 Beatrice Street Suite 2a, Los Angeles, CA 90066

Mailing Address

Phone number

(310) 448-6800

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

WILLIAM O'NEIL & CO. BROCHURE (3/14/2025)

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Matthew J. Dowal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WILLIAM O'NEIL + COMPANY

ATM

MORGAN STANLEY DW INC.

WESTAMERICA INVESTMENT GROUP

Primary Firm SEC Registration

WILLIAM O'NEIL + COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 3/21/2011

Series 63

Date: 12/30/2009

Series 7

Date: 11/22/2009

Current Firm

WILLIAM O'NEIL + COMPANY

Contact information

Documents

Part 2 Brochures

Red Flags

Company Information

WILLIAM O'NEIL + COMPANY

TRUST BUT VERIFY

Similar Advisors