Matthew A. Houston
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 A Houston, who also goes by Matthew Anthony Houston, Houston A Matthew, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2006. Matthew had worked at 7 firms and has passed the Series 66, Series 7TO, 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
August 7, 2023 - August 23, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
September 9, 2016 - April 28, 2020
TD AMERITRADE, INC.
September 8, 2016 - April 28, 2020
TD AMERITRADE, INC.
September 8, 2016 - April 28, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 8, 2015 - September 24, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 7, 2015 - September 24, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 5, 2014 - March 10, 2015
SCOTTRADE, INC.
April 18, 2013 - May 24, 2013
PERSONAL CAPITAL ADVISORS CORPORATION
June 8, 2012 - July 16, 2012
TD AMERITRADE, INC.
June 8, 2012 - July 16, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 8, 2012 - July 16, 2012
TD AMERITRADE, INC.
February 15, 2008 - April 4, 2012
CHARLES SCHWAB & CO., INC.
February 14, 2008 - April 4, 2012
CHARLES SCHWAB & CO., INC.
May 10, 2007 - January 17, 2008
TD AMERITRADE, INC.
May 10, 2007 - January 17, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 10, 2007 - January 17, 2008
TD AMERITRADE, INC.
March 2, 2006 - March 19, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 9, 2006 - March 19, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
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
Series 7TO
Date: 7/12/2022
General Securities Representative ExaminationCurrent Firm
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THRIVENT FINANCIAL HOLDINGS, INC. | OWNER | |
| BIRR, THOMAS JOHN | VICE PRESIDENT | 4148092 |
| BOUSU, CALEB ANTHONY | DIRECTOR | 7877353 |
| CECERE, NICHOLAS M | DIRECTOR | 1513551 |
| GILCHRIST, TONIA NICOLE JAMES | CHIEF LEGAL OFFICER & SECRETARY | 4777233 |
| GOLIS, ANDREA CORIN | CHIEF COMPLIANCE OFFICER | 1401462 |
| JOHNSON, ARIKA VIKTORIA | DIRECTOR | 5580869 |
| JOHNSTON, PAUL ROBERTS | DIRECTOR | 2065882 |
| KLOSTER, DAVID JACOB | PRESIDENT | 2523240 |
| NORGARD, ANDREW DYLAN | TREASURER | 6868385 |
Regulatory assets under management
| Total Number of Accounts | 48,940 |
| AUM (Assets Under Management) | $ 17,499,525,490 |
Disclosures
| Regulatory Event | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/21/2024 | ||
| 01/25/2024 |
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.
