MC
Matthew R. Cowles
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CRD#: 4157639
MC
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 Robert Cowles was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2000. Matthew had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
Business Name: LYMAN ASSOCIATES LLC Investment Related: No Address: 10 Lyman St New Haven CT 06511 Nature of Business: Real Estate Position, Title or Relationship: Member Start Date: 11/14/2008 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I have no duties associated with this activity.Business Name: Schuster Driscoll LLC Investment Related: Yes Address: 135 South Rd Farmington CT 06032 Nature of Business: Insurance Position, Title or Relationship: Producer Start Date: 5/2/2012 Hours per month: 31% - 40% (49 - 64 hours) Hours per month during trading hours: 31% - 40% (43 - 56 hours) Duties: Selling and servicing insurance policies for clientBusiness Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory servicesBusiness Name: Schuster Driscoll LLC DBA The Schuster Group Investment Related: Yes Address: 135 South Rd Farmington CT 06032 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Rep, Retirement Plan Consultant Start Date: 5/1/2012 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Sale and service of retirement plan clientsBusiness Name: Ann's Place Investment Related: No Address: 80 Saw Mill Rd Danbury CT 06810 Nature of Business: Community/Charitable/Civic Volunteer (Non-Leadership Position) Position, Title or Relationship: Volunteer Start Date: 6/1/2021 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: The Board is looking for someone to join their investment committee not as a Board member but as a volunteer member of that committee (preference for someone that has investment/broker experience. I would be obligated to attend Investment Committee meetings as a volunteer member.
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®
NoneExperience
Past
April 19, 2016 - September 6, 2024
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
West Hartford, CT
Past
May 2, 2012 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
West Hartford, CT
Past
May 2, 2012 - September 6, 2024
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
West Hartford, CT
Past
May 23, 2008 - May 4, 2012
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
GLASTONBURY, CT
Past
May 23, 2008 - May 4, 2012
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
GLASTONBURY, CT
Past
March 13, 2006 - May 8, 2008
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
NEW YORK, NY
Past
May 5, 2004 - May 8, 2008
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
NEW YORK, NY
Past
December 8, 2003 - December 18, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
December 16, 2002 - November 17, 2003
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
May 15, 2000 - December 17, 2002
PPI EMPLOYEE BENEFITS CORPORATION
BD
CRD#: 28970
MIDDLETOWN, CT
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
