Matthew D. Schroeder

GREAT POINT WEALTH ADVISORS

DANVERS, MA 01923

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CRD#: 3260388

Professional summary

Matthew Douglas Schroeder, CFP® is a registered financial advisor currently at GREAT POINT WEALTH ADVISORS, LLC located in Danvers, Massachusetts.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Matthew has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

NAME OF OBA: Elm Street Tax ADDRESS OF OBA: 100 Cummings Center #207-F, Beverly, MA 019153 NATURE: Tax/Accounting/Trust & Non-Profit Services INVESTMENT-RELATED: No RELATIONSHIP WITH OBA: Sole Owner (100%); DUTIES: Owner START DATE: 01/01/2025; NAME OF OBA: Elm Street Wealth ADDRESS OF OBA: NATURE: Referral Compensation Services INVESTMENT-RELATED: Yes RELATIONSHIP WITH OBA: Sole Owner (100%); DUTIES: Owner START DATE: 01/01/2025; NAME OF OBA: Danvers Rotary Trust NATURE: Endowment Committee INVESTMENT-RELATED: No RELATIONSHIP WITH OBA: Chair DUTIES: Vote/approve grant requests from Rotary Club START DATE: 01/01/2025;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Douglas Schroeder'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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

May 17, 2016 - Present

GREAT POINT WEALTH ADVISORS, LLC

Office #1: 74 Elm Street, Danvers, MA 01923

RIA

CRD#: 147082

DANVERS, MA

Past

July 10, 2012 - May 23, 2016

OSAIC FS, INC.

RIA

CRD#: 3870

BEVERLY, MA

Past

July 9, 2012 - May 23, 2016

OSAIC FS, INC.

CRD#: 3870

BEVERLY, MA

Past

May 8, 2009 - July 13, 2012

OSAIC FA, INC.

RIA

CRD#: 3978

WALTHAM, MA

Past

May 1, 2009 - July 13, 2012

OSAIC FA, INC.

CRD#: 3978

WALTHAM, MA

Past

April 14, 2004 - December 31, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CHARLESTOWN, MA

Past

July 29, 1999 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 29, 1999 - April 8, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CHARLESTOWN, 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".

GREAT POINT WEALTH ADVISORS, LLC

DISCH & ASSOCIATES, LLC | GREAT POINT WEALTH ADVISORS, LLC

CRD#: 147082 / SEC#: 801-70479

RIA

Registered Investment Advisory firm - (8/7/2009 Approved)

Connecticut

Registered Investment Advisory firm - (8/7/2009 Terminated)

Massachusetts

Registered Investment Advisory firm - (8/13/2009 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.

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

Massachusetts
(5/17/2016)

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: 4/2/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/12/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/23/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/28/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 2/6/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/15/2003

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 6/12/2002

General Securities Principal Examination

Current Firm

GREAT POINT WEALTH ADVISORS, LLC

DISCH & ASSOCIATES, LLC | GREAT POINT WEALTH ADVISORS, LLC

CRD#: 147082 / SEC#: 801-70479

RIA

Registered Investment Advisory firm - (8/7/2009 Approved)

Connecticut

Registered Investment Advisory firm - (8/7/2009 Terminated)

Massachusetts

Registered Investment Advisory firm - (8/13/2009 Terminated)

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Contact information

Main Address

One International Place Suite 4520, Boston, MA 02110

Mailing Address

Phone number

(617) 585-0050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

03 30 2023 GPW FORM ADV PART 2A AND 2B FINAL (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,137
AUM (Assets Under Management)	$ 627,528,196

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/06/2024	Cover Page	Report
12/08/2023	Cover Page	Report
01/03/2023	Cover Page	Report

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

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Matthew D. Schroeder

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Douglas Schroeder's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC FS, INC.

OSAIC FS, INC.

OSAIC FA, INC.

OSAIC FA, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

GREAT POINT WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/2/2004

Series 63

Date: 8/12/1999

SIE

Date: 5/23/2016

Series 7

Date: 7/28/1999

Series 10

Date: 2/6/2003

Series 9

Date: 1/15/2003

Series 24

Date: 6/12/2002

Current Firm

GREAT POINT WEALTH ADVISORS, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

GREAT POINT WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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