Matthew C. Malick

ATWATER MALICK

Lancaster, PA 17601

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CRD#: 4631713

Professional summary

Matthew Charles Malick, CFP® is a registered financial advisor currently at ATWATER MALICK located in Lancaster, Pennsylvania.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Matthew has worked at 2 firms and has passed the Series 11 exam.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Matthew Charles Malick's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

September 19, 2008 - Present

ATWATER MALICK

Office #1: 201 Granite Run Drive Suite 290, Lancaster, PA 17601

RIA

CRD#: 147972

Lancaster, PA

Past

March 13, 2003 - November 17, 2003

MBSC, LLC

CRD#: 42430

NEW YORK, NY

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".

ATWATER MALICK

ATWATER MALICK | NAME 209 | ATWATER MALICK, LLC

CRD#: 147972 / SEC#: 801-107806

RIA

Registered Investment Advisory firm - (5/10/2016 Approved)

Pennsylvania

Registered Investment Advisory firm - (5/12/2016 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(9/19/2008)

IAR

Texas
(5/10/2016)

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

General Industry/Product Exam

Series 11

Date: 3/11/2003

Assistant Representative-Order Processing Qualification Exam

Current Firm

ATWATER MALICK

ATWATER MALICK | NAME 209 | ATWATER MALICK, LLC

CRD#: 147972 / SEC#: 801-107806

RIA

Registered Investment Advisory firm - (5/10/2016 Approved)

Pennsylvania

Registered Investment Advisory firm - (5/12/2016 Terminated)

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Contact information

Main Address

201 Granite Run Drive Suite 290, Lancaster, PA 17601

Mailing Address

Phone number

(717) 400-1505

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV FORM 2A (1/16/2025)

Regulatory assets under management

Total Number of Accounts	955
AUM (Assets Under Management)	$ 586,640,333

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 C. Malick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Charles Malick's CRS (Customer Relationship Summary).

Certified licenses

Experience

ATWATER MALICK

MBSC, LLC

Primary Firm SEC Registration

ATWATER MALICK

State Registrations and Notice Filings

Exams

Series 11

Date: 3/11/2003

Current Firm

ATWATER MALICK

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ATWATER MALICK

TRUST BUT VERIFY

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