Matthew M. Richards
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 Martin Richards, AIF®, who also goes by Matt Richards, Matthew Richards, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2002. Matthew had worked at 18 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2022 - August 23, 2023
THE BALDWIN GROUP WEALTH ADVISORS, LLC
August 26, 2022 - August 30, 2023
EQUITABLE ADVISORS, LLC
July 16, 2021 - July 15, 2022
M HOLDINGS SECURITIES, INC.
July 15, 2021 - July 15, 2022
M HOLDINGS SECURITIES, INC.
November 16, 2015 - November 9, 2016
VSR FINANCIAL SERVICES, INC.
November 16, 2015 - November 2, 2017
GIRARD SECURITIES, INC.
February 10, 2015 - November 9, 2016
INVESTORS CAPITAL CORP.
February 10, 2015 - December 31, 2016
LEGEND EQUITIES CORPORATION
February 10, 2015 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
February 10, 2015 - June 8, 2021
FIRST ALLIED SECURITIES, INC.
August 28, 2014 - June 8, 2021
CETERA WEALTH SERVICES, LLC
August 28, 2014 - June 8, 2021
CETERA INVESTMENT SERVICES LLC
August 28, 2014 - June 8, 2021
CETERA FINANCIAL SPECIALISTS LLC
August 28, 2014 - June 8, 2021
CETERA ADVISORS LLC
August 28, 2014 - June 8, 2021
CETERA WEALTH SERVICES, LLC
January 21, 2014 - July 17, 2014
CETERA INVESTMENT ADVISERS LLC
February 7, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
February 7, 2013 - July 17, 2014
CETERA INVESTMENT SERVICES LLC
September 26, 2011 - December 21, 2012
COMERICA SECURITIES
September 26, 2011 - December 21, 2012
COMERICA SECURITIES
April 10, 2007 - September 21, 2011
U.S. BANCORP ADVISORS, LLC
April 10, 2007 - September 21, 2011
U.S. BANCORP ADVISORS, LLC
August 3, 2005 - April 10, 2007
CITICORP INVESTMENT SERVICES
May 5, 2005 - April 10, 2007
CITICORP INVESTMENT SERVICES
January 29, 2002 - May 3, 2005
EDWARD JONES
Primary Firm SEC Registration
THE BALDWIN GROUP WEALTH ADVISORS, LLC
CRD#: 312284 / SEC#: 801-120404
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THE BALDWIN GROUP WEALTH ADVISORS, LLC
CRD#: 312284 / SEC#: 801-120404
Contact information
SEC notice filing (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,356 |
| AUM (Assets Under Management) | $ 21,043,141,324 |
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.
