Matthew Brosseau
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 Brosseau, CFP®, who also goes by Matthew T Brosseau, Matthew Todd Brosseau, Matthew Brosseau, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2005. Matthew had worked at 14 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2025 - April 1, 2026
CETERA INVESTMENT ADVISERS LLC
September 5, 2025 - April 1, 2026
CETERA WEALTH SERVICES, LLC
May 5, 2025 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
May 2, 2025 - September 5, 2025
AVANTAX ADVISORY SERVICES
August 1, 2017 - July 26, 2023
RBC CAPITAL MARKETS, LLC
August 1, 2017 - July 26, 2023
RBC CAPITAL MARKETS, LLC
June 4, 2015 - August 2, 2017
U.S. BANCORP INVESTMENTS, INC.
June 4, 2015 - August 2, 2017
U.S. BANCORP INVESTMENTS, INC.
May 7, 2014 - June 4, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 2, 2014 - June 4, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 20, 2012 - April 28, 2014
TD AMERITRADE, INC.
March 20, 2012 - April 28, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 20, 2012 - April 28, 2014
TD AMERITRADE, INC.
January 3, 2011 - March 5, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - March 5, 2012
WELLS FARGO CLEARING SERVICES, LLC
July 21, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
July 18, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
January 16, 2008 - July 12, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 16, 2008 - July 12, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 10, 2006 - January 3, 2008
WELLS FARGO INVESTMENTS, LLC
May 10, 2006 - January 3, 2008
WELLS FARGO INVESTMENTS, LLC
May 13, 2005 - September 20, 2005
IDS LIFE INSURANCE COMPANY
May 13, 2005 - September 20, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
