Matthew L. Peoples

REGIMENT SECURITIES.

CHICAGO, IL 60611

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CRD#: 3095013

Professional summary

Matthew L Peoples, who also goes by Matt Peoples, Matthew Louis Peoples, is a registered financial professional currently at REGIMENT SECURITIES, LLC. located in Chicago, Illinois.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 1998. Matthew has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Matt Peoples | Matthew Louis Peoples

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 L Peoples'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

November 11, 2025 - Present

REGIMENT SECURITIES, LLC.

Office #1: 420 N. Wabash Avenue, Chicago, IL 60611

CRD#: 311302

CHICAGO, IL

Past

June 26, 2025 - November 5, 2025

PATRICK CAPITAL MARKETS, LLC

CRD#: 16518

Reston, VA

Past

July 31, 2023 - November 25, 2024

ORCHARD SECURITIES, LLC

CRD#: 133378

Denver, CO

Past

July 25, 2022 - July 13, 2023

MIT ASSOCIATES, LLC

CRD#: 121171

TIBURON, CA

Past

August 25, 2020 - February 3, 2022

CABOT LODGE SECURITIES LLC

CRD#: 159712

Burlingston, NJ

Past

December 9, 2019 - July 14, 2020

SEALY INVESTMENT SECURITIES, LLC

CRD#: 300691

DALLAS, TX

Past

August 11, 2014 - December 2, 2019

PTX SECURITIES, LLC

CRD#: 7735

Plano, TX

Past

August 7, 2012 - June 9, 2014

ORCHARD SECURITIES, LLC

CRD#: 133378

NEW YORK, NY

Past

January 7, 2011 - June 8, 2012

TNP SECURITIES, LLC

CRD#: 149178

COSTA MESA, CA

Past

May 17, 2010 - October 29, 2010

SELECT CAPITAL CORPORATION

CRD#: 145997

DALLAS, TX

Past

May 15, 2008 - October 9, 2009

KNIGHT PORTFOLIO ACCESS, LLC

RIA

CRD#: 146516

PRINCETON, NJ

Past

May 14, 2008 - October 9, 2009

MANAGED ACCOUNT SERVICES, LLC

CRD#: 133803

PRINCETON, NJ

Past

November 8, 2005 - January 2, 2008

LINCOLN FINANCIAL DISTRIBUTORS, INC.

RIA

CRD#: 145

PHILADELPHIA, PA

Past

November 7, 2005 - January 2, 2008

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

PHILADELPHIA, PA

Past

April 16, 2004 - November 8, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PENNINGTON, NJ

Past

August 14, 1998 - November 8, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

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

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

Illinois
(11/11/2025)

New Jersey
(11/11/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 3/5/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/2/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/12/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/2/2013

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

REGIMENT SECURITIES, LLC.

CRD#: 311302 / SEC#: , 8-70607

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

420 N. Wabash Avenue, Chicago, IL 60611

Mailing Address

420 N. Wabash Avenue 430, Chicago, IL 60611

Phone number

(773) 480-7561

Established

Delaware since 09/21/2020

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (33 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
REGIMENT, LLC.	MEMBER
BURNHAM, STEPHEN TYLER	SHAREHOLDER/PRINCIPAL	4663613
D&A CAPITAL PARTNERS LLC	MEMBER
CAVANAUGH, MICHAEL ALAN	CEO/CCO	4794844
JONES, SHARON DOSTER	FINOP/PFO/POO	3124470

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Matthew L. Peoples

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Matthew L Peoples's CRS (Customer Relationship Summary).

Certified licenses

Experience

PATRICK CAPITAL MARKETS, LLC

ORCHARD SECURITIES, LLC

MIT ASSOCIATES, LLC

CABOT LODGE SECURITIES LLC

SEALY INVESTMENT SECURITIES, LLC

PTX SECURITIES, LLC

ORCHARD SECURITIES, LLC

TNP SECURITIES, LLC

SELECT CAPITAL CORPORATION

KNIGHT PORTFOLIO ACCESS, LLC

MANAGED ACCOUNT SERVICES, LLC

LINCOLN FINANCIAL DISTRIBUTORS, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 3/5/1999

Series 63

Date: 10/2/1998

SIE

Date: 10/1/2018

Series 7

Date: 8/12/1998

Series 24

Date: 5/2/2013

FINRA

Current Firm

REGIMENT SECURITIES, LLC.

Contact information

FINRA licenses (33 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

REGIMENT SECURITIES, LLC.

TRUST BUT VERIFY

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