Matthew J. Shibata

MORLING FINANCIAL ADVISORS

Fremont, CA 94538

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CRD#: 5191517

Professional summary

Matthew James Shibata, who also goes by Matt J Shibata, Matt James Shibata, Matthew J Shibata, is a registered financial advisor currently at MORLING FINANCIAL ADVISORS, LLC located in Fremont, California.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Matthew has worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Matt J Shibata | Matt James Shibata | Matthew J Shibata

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) - RIA

Click below to view Matthew James Shibata's CRS (Customer Relationship Summary).

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

June 22, 2009 - Present

MORLING FINANCIAL ADVISORS, LLC

Office #1: 39355 California Street Suite 201a, Fremont, CA 94538

RIA

CRD#: 111819

Fremont, CA

Past

November 10, 2006 - July 6, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

WALNUT CREEK, CA

Past

September 27, 2006 - July 6, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

WALNUT CREEK, 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".

MORLING FINANCIAL ADVISORS, LLC

CRD#: 111819 / SEC#: 801-100390

RIA

Registered Investment Advisory firm - (6/30/2015 Approved)

California

Registered Investment Advisory firm - (8/16/2015 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.

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

California
(6/22/2009)

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: 11/8/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 9/26/2006

General Securities Representative Examination

Current Firm

MORLING FINANCIAL ADVISORS, LLC

CRD#: 111819 / SEC#: 801-100390

RIA

Registered Investment Advisory firm - (6/30/2015 Approved)

California

Registered Investment Advisory firm - (8/16/2015 Terminated)

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Contact information

Main Address

39355 California Street Suite 201a, Fremont, CA 94538-1447

Mailing Address

Phone number

(844) 667-5464

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MFA ADV 2A BROCHURE 3.19.2025 (3/19/2025)

Regulatory assets under management

Total Number of Accounts	1,331
AUM (Assets Under Management)	$ 755,720,449

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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Matthew J. Shibata

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew James Shibata's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORLING FINANCIAL ADVISORS, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

MORLING FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/8/2006

Series 7

Date: 9/26/2006

Current Firm

MORLING FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MORLING FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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