Matthew J. Henry

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CRD#: 4840015

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 John Henry, who also goes by Matthew Henry, was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 2004. Matthew had worked at 9 firms and has passed the Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Matthew Henry

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

February 7, 2018 - January 3, 2020

FREEDOM INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 126052

SAN RAFAEL, CA

Past

July 16, 2014 - October 23, 2017

FISHER INVESTMENTS

RIA

CRD#: 107342

SAN MATEO, CA

Past

October 21, 2011 - August 7, 2014

TRIAD ADVISORS LLC

CRD#: 25803

NAPERVILLE, IL

Past

March 11, 2011 - August 7, 2014

SIKICH FINANCIAL

RIA

CRD#: 142640

NAPERVILLE, IL

Past

January 19, 2010 - July 26, 2010

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

LARKSPUR, CA

Past

December 21, 2009 - July 23, 2010

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

LARKSPUR, CA

Past

September 22, 2008 - November 19, 2009

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA

CRD#: 137115

GLEN ELLYN, IL

Past

September 22, 2008 - November 19, 2009

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

GLEN ELLYN, IL

Past

October 18, 2005 - August 19, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BERKELEY, CA

Past

October 18, 2005 - August 19, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BERKELEY, CA

Past

January 19, 2005 - September 23, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 3, 2004 - September 23, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SAN FRANCISC, 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".

FREEDOM INVESTMENT MANAGEMENT, INC.

CRD#: 126052 / SEC#: 801-68642

RIA

Registered Investment Advisory firm - (1/8/2008 Approved)

Arizona

Registered Investment Advisory firm - (1/10/2008 Terminated)

California

Registered Investment Advisory firm - (1/11/2008 Terminated)

Colorado

Registered Investment Advisory firm - (1/15/2008 Terminated)

Connecticut

Registered Investment Advisory firm - (1/10/2008 Terminated)

Florida

Registered Investment Advisory firm - (1/14/2008 Terminated)

Idaho

Registered Investment Advisory firm - (1/10/2008 Terminated)

Illinois

Registered Investment Advisory firm - (1/8/2008 Terminated)

Indiana

Registered Investment Advisory firm - (1/10/2008 Terminated)

Iowa

Registered Investment Advisory firm - (1/11/2008 Terminated)

Maryland

Registered Investment Advisory firm - (1/31/2008 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/14/2008 Terminated)

New Jersey

Registered Investment Advisory firm - (1/10/2008 Terminated)

North Carolina

Registered Investment Advisory firm - (1/10/2008 Terminated)

Ohio

Registered Investment Advisory firm - (1/10/2008 Terminated)

Texas

Registered Investment Advisory firm - (1/10/2008 Terminated)

Virginia

Registered Investment Advisory firm - (1/17/2008 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 66

Date: 11/1/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 11/24/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/15/2004

General Securities Representative Examination

Current Firm

FREEDOM INVESTMENT MANAGEMENT, INC.

CRD#: 126052 / SEC#: 801-68642

RIA

Registered Investment Advisory firm - (1/8/2008 Approved)

Arizona

Registered Investment Advisory firm - (1/10/2008 Terminated)

California

Registered Investment Advisory firm - (1/11/2008 Terminated)

Colorado

Registered Investment Advisory firm - (1/15/2008 Terminated)

Connecticut

Registered Investment Advisory firm - (1/10/2008 Terminated)

Florida

Registered Investment Advisory firm - (1/14/2008 Terminated)

Idaho

Registered Investment Advisory firm - (1/10/2008 Terminated)

Illinois

Registered Investment Advisory firm - (1/8/2008 Terminated)

Indiana

Registered Investment Advisory firm - (1/10/2008 Terminated)

Iowa

Registered Investment Advisory firm - (1/11/2008 Terminated)

Maryland

Registered Investment Advisory firm - (1/31/2008 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/14/2008 Terminated)

New Jersey

Registered Investment Advisory firm - (1/10/2008 Terminated)

North Carolina

Registered Investment Advisory firm - (1/10/2008 Terminated)

Ohio

Registered Investment Advisory firm - (1/10/2008 Terminated)

Texas

Registered Investment Advisory firm - (1/10/2008 Terminated)

Virginia

Registered Investment Advisory firm - (1/17/2008 Terminated)

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Contact information

Main Address

100 Constitution Plz Fl 7, Hartford, CT 06103-1703

Mailing Address

Phone number

(860) 291-1998

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FREEDOM PART 2A BROCHURE (10/3/2025)

FREEDOM WRAP FEE PROGRAM BROCHURE (10/3/2025)

Regulatory assets under management

Total Number of Accounts	1,236
AUM (Assets Under Management)	$ 605,511,089

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 J. Henry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FISHER INVESTMENTS

TRIAD ADVISORS LLC

SIKICH FINANCIAL

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

BMO HARRIS FINANCIAL ADVISORS, INC.

BMO HARRIS FINANCIAL ADVISORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

FREEDOM INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/1/2004

Series 31

Date: 11/24/2004

Series 7

Date: 10/15/2004

Current Firm

FREEDOM INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FREEDOM INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

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