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MM

Matthew Moreno

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CRD#: 5217119
MM

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 Moreno was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 2007. Matthew had worked at 6 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
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

August 25, 2022 - September 7, 2023

WEALTHPLAN INVESTMENT MANAGEMENT LLC

RIA
CRD#: 311364
OMAHA, NE
Past

December 6, 2021 - July 28, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
MINNEAPOLIS, MN
Past

September 3, 2021 - July 28, 2022

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MINNEAPOLIS, MN
Past

May 24, 2017 - November 26, 2019

CONTINUUM FINANCIAL

RIA
CRD#: 175297
OMAHA, NE
Past

April 24, 2017 - April 24, 2017

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
OMAHA, NE
Past

April 24, 2017 - November 25, 2019

SECURITIES AMERICA, INC.

BD
CRD#: 10205
OMAHA, NE
Past

November 16, 2007 - March 22, 2017

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
OMAHA, NE
Past

November 13, 2007 - March 22, 2017

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
OMAHA, NE
Past

February 23, 2007 - November 8, 2007

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
OMAHA, NE
Past

January 2, 2007 - November 8, 2007

SECURITIES AMERICA, INC.

BD
CRD#: 10205
OMAHA, NE

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".
WI
WEALTHPLAN INVESTMENT MANAGEMENT LLC
FELTZ WEALTHPLAN | WEALTHPLAN PARTNERS - THE COBLE & MCCUNE TEAM | WEALTHPLAN INVESTMENT MANAGEMENT LLC | WEALTHPLAN GROUP PACIFIC NORTHWEST | WEALTHPLAN GROUP COBLE MCCUNE TEAM | WEALTHPLAN GROUP | VIZIONARY WEALTH MANAGEMENT | THE PREFERRED CLIENT GROUP | OGARD PRIVATE WEALTH, LLC

CRD#: 311364 / SEC#: 801-120004

RIA
Registered Investment Advisory firm - (12/18/2020 Approved)

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/19/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/30/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/15/2021
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 1/26/2008
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/10/2007
General Securities Principal Examination

Current Firm

WI
WEALTHPLAN INVESTMENT MANAGEMENT LLC
FELTZ WEALTHPLAN | WEALTHPLAN PARTNERS - THE COBLE & MCCUNE TEAM | WEALTHPLAN INVESTMENT MANAGEMENT LLC | WEALTHPLAN GROUP PACIFIC NORTHWEST | WEALTHPLAN GROUP COBLE MCCUNE TEAM | WEALTHPLAN GROUP | VIZIONARY WEALTH MANAGEMENT | THE PREFERRED CLIENT GROUP | OGARD PRIVATE WEALTH, LLC

CRD#: 311364 / SEC#: 801-120004

RIA
Registered Investment Advisory firm - (12/18/2020 Approved)
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Contact information

Main Address
101 S 108th Ave 3rd Floor, Omaha, NE 68154
Mailing Address
Phone number
(402) 691-0200
Established
Firm type
Fiscal year end
# of Employees
40

SEC notice filing (33 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A: FIRM BROCHURE (9/5/2025)

Regulatory assets under management

Total Number of Accounts3,957
AUM (Assets Under Management)$ 1,574,375,590

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.

Company Information

WEALTHPLAN INVESTMENT MANAGEMENT LLC

CRD#: 311364

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