Matthew W. Staten

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CRD#: 4420619

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 Wade Staten, who also goes by Matthew W Staten, was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 2001. Matthew had worked at 12 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Matthew W Staten

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.

1.) Innovative Retirement Solutions, LLC; Investment Related; Columbus, OH, Insurance Agency, Independent Insurance Agent, Start Date 04/2018; Approximately 40 hours/month devoted to this business with 30 hours/month devoted during securities trading hours

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

January 31, 2023 - April 16, 2025

TUCKER ASSET MANAGEMENT LLC

RIA

CRD#: 174844

Westerville, OH

Past

February 28, 2022 - May 9, 2023

T GREEN WEALTH ADVISORS LLC

RIA

CRD#: 292162

GROVE CITY, OH

Past

February 26, 2020 - May 28, 2020

INNOVATIVE RETIREMENT SOLUTIONS, LLC

RIA

CRD#: 307094

COLUMBUS, OH

Past

May 20, 2013 - December 31, 2013

STATEN & ASSOCIATES, LLC

RIA

CRD#: 167773

HILLIARD, OH

Past

July 5, 2012 - January 11, 2013

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

COLUMBUS, OH

Past

July 5, 2012 - January 11, 2013

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

COLUMBUS, OH

Past

September 13, 2007 - August 3, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

COLUMBUS, OH

Past

September 12, 2007 - August 3, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

COLUMBUS, OH

Past

July 20, 2006 - September 21, 2007

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

POWELL, OH

Past

June 8, 2006 - September 21, 2007

FIFTH THIRD SECURITIES, INC.

CRD#: 628

POWELL, OH

Past

July 6, 2005 - June 6, 2006

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

COLUMBUS, OH

Past

July 6, 2005 - June 6, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

COLUMBUS, OH

Past

October 19, 2004 - July 6, 2005

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

COLUMBUS, OH

Past

October 19, 2004 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

October 11, 2002 - October 23, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

WORTHINGTON, OH

Past

September 24, 2002 - October 23, 2004

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 24, 2002 - October 23, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

September 5, 2001 - September 9, 2002

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

September 5, 2001 - September 9, 2002

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

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".

TUCKER ASSET MANAGEMENT LLC

TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC

CRD#: 174844 / SEC#: 801-107110

RIA

Registered Investment Advisory firm - (1/13/2016 Approved)

Colorado

Registered Investment Advisory firm - (1/28/2016 Terminated)

Georgia

Registered Investment Advisory firm - (2/12/2016 Terminated)

Iowa

Registered Investment Advisory firm - (1/26/2016 Terminated)

Louisiana

Registered Investment Advisory firm - (1/26/2016 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/22/2016 Terminated)

Montana

Registered Investment Advisory firm - (1/22/2016 Terminated)

Nebraska

Registered Investment Advisory firm - (12/31/2015 Terminated)

New Jersey

Registered Investment Advisory firm - (1/22/2016 Terminated)

North Carolina

Registered Investment Advisory firm - (1/22/2016 Terminated)

Ohio

Registered Investment Advisory firm - (1/22/2016 Terminated)

Texas

Registered Investment Advisory firm - (1/22/2016 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 66

Date: 10/27/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 9/4/2001

General Securities Representative Examination

Current Firm

TUCKER ASSET MANAGEMENT LLC

TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC

CRD#: 174844 / SEC#: 801-107110

RIA

Registered Investment Advisory firm - (1/13/2016 Approved)

Colorado

Registered Investment Advisory firm - (1/28/2016 Terminated)

Georgia

Registered Investment Advisory firm - (2/12/2016 Terminated)

Iowa

Registered Investment Advisory firm - (1/26/2016 Terminated)

Louisiana

Registered Investment Advisory firm - (1/26/2016 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/22/2016 Terminated)

Montana

Registered Investment Advisory firm - (1/22/2016 Terminated)

Nebraska

Registered Investment Advisory firm - (12/31/2015 Terminated)

New Jersey

Registered Investment Advisory firm - (1/22/2016 Terminated)

North Carolina

Registered Investment Advisory firm - (1/22/2016 Terminated)

Ohio

Registered Investment Advisory firm - (1/22/2016 Terminated)

Texas

Registered Investment Advisory firm - (1/22/2016 Terminated)

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Contact information

Main Address

1520 West Canal Court Suite 100, Littleton, CO 80120

Mailing Address

Phone number

(303) 734-1234

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	4,243
AUM (Assets Under Management)	$ 640,805,363

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

Matthew W. Staten

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

T GREEN WEALTH ADVISORS LLC

INNOVATIVE RETIREMENT SOLUTIONS, LLC

STATEN & ASSOCIATES, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

Primary Firm SEC Registration

TUCKER ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/27/2003

Series 7

Date: 9/4/2001

Current Firm

TUCKER ASSET MANAGEMENT LLC

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TUCKER ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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