James L. Matt

GOLDEN STATE EQUITY PARTNERS

Scottsdale, AZ

CRD#: 3070148

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Professional summary

James Louis Matt, who also goes by James Matt, is a registered financial advisor currently at GOLDEN STATE EQUITY PARTNERS, LLC located in Scottsdale, Arizona.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. James has worked at 12 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Matt

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) - RIA

Click below to view James Louis Matt'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

January 8, 2026 - Present

GOLDEN STATE EQUITY PARTNERS, LLC

RIA

CRD#: 322879

Scottsdale, AZ

Past

February 7, 2024 - December 16, 2025

FREEDOM INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 126052

Scottsdale, AZ

Past

April 20, 2021 - December 21, 2023

3D/L CAPITAL MANAGEMENT, LLC

RIA

CRD#: 283304

SCOTTSDALE, AZ

Past

March 26, 2020 - March 31, 2021

3D ASSET MANAGEMENT, INC.

RIA

CRD#: 139595

Scottsdale, AZ

Past

February 1, 2011 - March 30, 2020

POGSON & MATT WEALTH MANAGEMENT GROUP

RIA

CRD#: 155377

PHOENIX, AZ

Past

September 16, 2008 - February 22, 2011

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

PHOENIX, AZ

Past

September 3, 2008 - February 22, 2011

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

PHOENIX, AZ

Past

July 8, 2008 - September 10, 2008

TD AMERITRADE, INC.

RIA

CRD#: 7870

SCOTTSDALE, AZ

Past

July 8, 2008 - September 10, 2008

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

SCOTTSDALE, AZ

Past

June 24, 2008 - September 10, 2008

TD AMERITRADE, INC.

CRD#: 7870

SCOTTSDALE, AZ

Past

September 16, 2002 - June 20, 2008

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SCOTTSDALE, AZ

Past

August 18, 1999 - June 19, 2008

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SCOTTSDALE, AZ

Past

June 26, 1998 - July 13, 1999

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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".

GOLDEN STATE EQUITY PARTNERS, LLC

CRD#: 322879 / SEC#: 801-126441

RIA

Registered Investment Advisory firm - (8/25/2022 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.

Highlighted states indicate IAR registrations

IAR

Arizona
(1/30/2026)

IAR

California
(1/8/2026)

IAR

Texas
(1/13/2026)

IAR

Utah
(1/9/2026)

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 66

Date: 8/21/2002

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/28/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/15/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/16/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/24/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GOLDEN STATE EQUITY PARTNERS, LLC

CRD#: 322879 / SEC#: 801-126441

RIA

Registered Investment Advisory firm - (8/25/2022 Approved)

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Contact information

Main Address

201 E. Sandpointe Ave Suite 460, South Coast Metro, CA 92707

Mailing Address

Phone number

(866) 273-1563

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GOLDEN STATE EQUITY PARTNERS PART 2A FIRM BROCHURE (9/8/2025)

GOLDEN STATE EQUITY PARTNERS PART 2A WRAP FEE BROCHURE (9/8/2025)

Regulatory assets under management

Total Number of Accounts	4,604
AUM (Assets Under Management)	$ 880,384,165

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.

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Advisor Monitoring

Firm Stability Insights

James L. Matt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Louis Matt's CRS (Customer Relationship Summary).

Certified licenses

Experience

FREEDOM INVESTMENT MANAGEMENT, INC.

3D/L CAPITAL MANAGEMENT, LLC

3D ASSET MANAGEMENT, INC.

POGSON & MATT WEALTH MANAGEMENT GROUP

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

GOLDEN STATE EQUITY PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/21/2002

Series 65

Date: 9/28/1998

Series 63

Date: 7/15/1998

Series 7

Date: 2/16/1999

Series 6

Date: 6/24/1998

Current Firm

GOLDEN STATE EQUITY PARTNERS, LLC

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GOLDEN STATE EQUITY PARTNERS, LLC

TRUST BUT VERIFY

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