David C. Matt

RUBY FINANCIAL

Washington, MI

Some features on this profile are disabled

CRD#: 4907003

Professional summary

David Charles Matt is a registered financial advisor currently at RUBY FINANCIAL located in Washington, Michigan.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. David has worked at 3 firms and has passed the Series 65, Series 66 and Series 7 exams.

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.

I HAVE LIFE, HEALTH AND ACCIDENT INSURANCE LICENSES TO ALLOW ME TO ACCESS INSURANCE PRODUCTS THAT MAY BE NEEDED BY MY CLIENTS. THE INSURANCE BUSINESS IS NOT DIRECTLY INVESTMENT-RELATED IT IS A CONVENIENCE TO MY CLIENTS. RUBY FINANCIAL IS LOCATED AT 57340 CURTIS ST., WASHINGTON, MICHIGAN, 48094. I AM THE PRESIDENT OF RUBY FINANCIAL AND HAVE BEEN FROM THE START DATE OF 03/2006. THE HOURS DEVOTED TO THE INSURANCE BUSINESS VERY AND ARE RELATED TO THE NEEDS OF MY CLIENTS. MY DUTIES INCLUDE DETERMINING APPROPRIATE INSURANCE PRODUCTS TO FILL THE NEED OF MY CLIENTS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Charles Matt's 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®

None

Experience

Current

October 8, 2010 - Present

RUBY FINANCIAL

RIA

CRD#: 142491

Washington, MI

Past

March 13, 2006 - October 30, 2009

BROKERSXPRESS LLC

CRD#: 127081

WASHINGTON, MI

Past

February 8, 2005 - March 13, 2006

SIGMA FINANCIAL CORPORATION

CRD#: 14303

ANN ARBOR, MI

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

Michigan
(10/8/2010)

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: 8/28/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/26/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 2/7/2005

General Securities Representative Examination

Current Firm

RUBY FINANCIAL

RUBY FINANCIAL | RUBY FINANCIAL CORPORATION

CRD#: 142491 / SEC#:

Michigan

Registered Investment Advisory firm - (1/28/2010 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Washington, MI

Mailing Address

Phone number

(586) 580-4084

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David C. Matt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Charles Matt's CRS (Customer Relationship Summary).

Certified licenses

Experience

RUBY FINANCIAL

BROKERSXPRESS LLC

SIGMA FINANCIAL CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 8/28/2010

Series 66

Date: 3/26/2005

Series 7

Date: 2/7/2005

Current Firm

RUBY FINANCIAL

Contact information

Documents

Red Flags

Company Information

RUBY FINANCIAL

TRUST BUT VERIFY

Similar Advisors