Matthew D. Poole
Professional summary
Matthew D. Poole, CFP® is a registered financial advisor currently at DARK HORSE ADVISORS LLC located in San Diego, California and DFPG INVESTMENTS, LLC located in Santa Rosa, California.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Matthew has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Matthew D. Poole's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 21, 2023 - Present
DARK HORSE ADVISORS LLC
July 1, 2016 - Present
DFPG INVESTMENTS, LLC
Office #1: 111 Santa Rosa Ave Suite 110, Santa Rosa, CA 95404July 7, 2016 - February 9, 2024
DFPG INVESTMENTS, LLC
June 18, 2012 - July 28, 2016
FIRST ALLIED ADVISORY SERVICES, INC.
June 14, 2012 - July 5, 2016
FIRST ALLIED SECURITIES, INC.
March 23, 2009 - June 19, 2012
CENTARA CAPITAL MANAGEMENT GROUP, INC.
March 23, 2009 - June 19, 2012
CAPLINK SECURITIES, INC
March 13, 2006 - March 25, 2009
EQUITABLE ADVISORS, LLC
February 6, 2006 - March 25, 2009
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/1/2016)
(6/14/2023)
(7/1/2016)
(3/21/2023)
(8/28/2018)
(7/1/2016)
(9/14/2016)
(11/30/2018)
(12/20/2016)
(7/1/2016)
(3/4/2025)
(1/19/2024)
(9/14/2016)
(3/29/2023)
(11/24/2020)
(2/6/2025)
(7/1/2016)
(7/1/2016)
(3/26/2024)
(9/14/2016)
(8/14/2023)
(9/14/2016)
(11/12/2024)
(9/14/2016)
Exams
FINRA
Current Firm
DARK HORSE ADVISORS LLC
CRD#: 312741 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 305 |
| AUM (Assets Under Management) | $ 103,883,890 |
Red Flags
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