Matthew D. Zuck

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CRD#: 4541774

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 Dean Zuck was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 2001. Matthew had worked at 4 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

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

March 5, 2014 - April 17, 2018

HELM CAPITAL MANAGEMENT

RIA

CRD#: 123174

SEATTLE, WA

Past

August 12, 2013 - March 31, 2014

GUARDIAN INVESTMENT MANAGEMENT

RIA

CRD#: 104935

SAN FRANCISCO, CA

Past

November 8, 2011 - November 2, 2012

ALAN BILLER AND ASSOCIATES

RIA

CRD#: 105283

MENLO PARK, CA

Past

December 24, 2001 - July 19, 2011

SKBA CAPITAL MANAGEMENT, LLC

RIA

CRD#: 108542

SAN FRANCISCO, CA

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".

HELM CAPITAL MANAGEMENT

HELM CAPITAL MANAGEMENT | HELM CAPITAL MANAGEMENT LLC

CRD#: 123174 / SEC#: 801-81063

RIA

Registered Investment Advisory firm - (3/9/2015 Approved)

Texas

Registered Investment Advisory firm - (3/24/2015 Terminated)

Washington

Registered Investment Advisory firm - (3/31/2015 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 65

Date: 12/18/2001

Uniform Investment Adviser Law Examination

Current Firm

HELM CAPITAL MANAGEMENT

HELM CAPITAL MANAGEMENT | HELM CAPITAL MANAGEMENT LLC

CRD#: 123174 / SEC#: 801-81063

RIA

Registered Investment Advisory firm - (3/9/2015 Approved)

Texas

Registered Investment Advisory firm - (3/24/2015 Terminated)

Washington

Registered Investment Advisory firm - (3/31/2015 Terminated)

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Contact information

Main Address

1904 Third Avenue, Suite 325, Seattle, WA 98101

Mailing Address

Phone number

(206) 654-6200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HELM CAPITAL MANAGEMENT LLC PART 2 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	148
AUM (Assets Under Management)	$ 203,132,530

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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Matthew D. Zuck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HELM CAPITAL MANAGEMENT

GUARDIAN INVESTMENT MANAGEMENT

ALAN BILLER AND ASSOCIATES

SKBA CAPITAL MANAGEMENT, LLC

Primary Firm SEC Registration

HELM CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 12/18/2001

Current Firm

HELM CAPITAL MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HELM CAPITAL MANAGEMENT

TRUST BUT VERIFY

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