Matthew Thomas Hayes | Financial Professional

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 Thomas Hayes, who also goes by Matt Hayes, Matthew Thomas Hayes, Matthew Hayes, was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 2004. Matthew had worked at 13 firms and has passed the Series 66, Series 99TO, Series 52TO, SIE, Series 3, Series 7, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Matt Hayes | Matthew Thomas Hayes | Matthew Hayes

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) REALTA INVESTMENT ADVISORS, INC.; WILMINGTON, DE; INVESTMENT ADVISORY SERVICES, INVESTMENT ADVISOR REPRESENTATIVE; WWW.REALTAWEALTH.COM; COMPENSATION IN THE FOR OF FEES; 40 HOURS PER WEEK DURING NORMAL 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

November 28, 2023 - August 8, 2024

REALTA INVESTMENT ADVISORS, INC

RIA

CRD#: 134952

San Diego, CA

Past

November 28, 2023 - August 8, 2024

REALTA EQUITIES, INC.

BD

CRD#: 23769

San Diego, CA

Past

November 17, 2022 - April 5, 2023

XTON FINANCIAL LLC

BD

CRD#: 132847

San Diego, CA

Past

August 31, 2022 - September 2, 2022

ARETE WEALTH ADVISORS, LLC

RIA

CRD#: 145488

Chicago, IL

Past

August 31, 2022 - September 2, 2022

ARETE WEALTH MANAGEMENT, LLC

BD

CRD#: 44856

CHICAGO, IL

Past

August 30, 2022 - September 2, 2022

CENTER STREET ADVISORS, INC.

RIA

CRD#: 169329

SAN DIEGO, CA

Past

August 30, 2022 - September 2, 2022

CENTER STREET SECURITIES, INC.

BD

CRD#: 26898

NASHVILLE, TN

Past

April 4, 2018 - September 6, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

April 3, 2018 - September 6, 2022

LPL FINANCIAL LLC

BD

CRD#: 6413

SAN DIEGO, CA

Past

August 23, 2013 - April 27, 2017

ORCHARD SECURITIES, LLC

BD

CRD#: 133378

Solana Beach, CA

Past

June 13, 2011 - June 27, 2013

MADISON AVENUE SECURITIES, LLC

RIA

CRD#: 23224

SAN DIEGO, CA

Past

June 13, 2011 - June 27, 2013

MADISON AVENUE SECURITIES, LLC

BD

CRD#: 23224

SAN DIEGO, CA

Past

February 1, 2011 - April 4, 2011

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

SAN DIEGO, CA

Past

May 19, 2008 - April 4, 2011

COMMONWEALTH FINANCIAL NETWORK

BD

CRD#: 8032

SAN DIEGO, CA

Past

November 15, 2006 - April 1, 2008

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

IRVINE, CA

Past

November 15, 2006 - April 1, 2008

WAMU INVESTMENTS, INC.

BD

CRD#: 599

IRVINE, CA

Past

September 28, 2005 - November 15, 2006

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

September 27, 2005 - November 15, 2006

LPL FINANCIAL LLC

BD

CRD#: 6413

SAN DIEGO, CA

Past

May 3, 2005 - September 28, 2005

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

SAN DIEGO, CA

Past

May 3, 2005 - September 28, 2005

WAMU INVESTMENTS, INC.

BD

CRD#: 599

IRVINE, CA

Past

August 16, 2004 - April 13, 2005

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

COVINA, CA

Past

August 5, 2004 - April 13, 2005

WELLS FARGO INVESTMENTS, LLC

BD

CRD#: 10582

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".

RI

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 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

RR

IAR

Series 66

Date: 8/13/2004

Uniform Combined State Law Examination

General Industry/Product Exam

RR

Series 99TO

Date: 2/23/2023

Operations Professional Examination

General Industry/Product Exam

RR

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 3

Date: 3/2/2009

National Commodity Futures Examination

General Industry/Product Exam

RR

Series 7

Date: 8/4/2004

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 4

Date: 11/23/2011

Registered Options Principal Examination

Principal/Supervisory Exam

RR

Series 53

Date: 8/26/2008

Municipal Securities Principal Examination

Principal/Supervisory Exam

RR

Series 24

Date: 10/28/2005

General Securities Principal Examination

Current Firm

RI

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 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).

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Contact information

Main Address

1201 N. Orange Street Suite 729, Wilmington, DE 19801

Mailing Address

Phone number

(888) 657-5200

Established

Firm type

Fiscal year end

# of Employees

64

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE 3.21.2025 (3/31/2025)

ADV II 3.21.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,958
AUM (Assets Under Management)	$ 343,465,487

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 T. Hayes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REALTA EQUITIES, INC.

XTON FINANCIAL LLC

ARETE WEALTH ADVISORS, LLC

ARETE WEALTH MANAGEMENT, LLC

CENTER STREET ADVISORS, INC.

CENTER STREET SECURITIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

ORCHARD SECURITIES, LLC

MADISON AVENUE SECURITIES, LLC

MADISON AVENUE SECURITIES, LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

Primary Firm SEC Registration

REALTA INVESTMENT ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/13/2004

Series 99TO

Date: 2/23/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 3/2/2009

Series 7

Date: 8/4/2004

Series 4

Date: 11/23/2011

Series 53

Date: 8/26/2008

Series 24

Date: 10/28/2005

Current Firm

REALTA INVESTMENT ADVISORS, INC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REALTA INVESTMENT ADVISORS, INC

TRUST BUT VERIFY

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