MM
Matthew J. Marshall
KESTRA ADVISORY SERVICES
Redondo Beach, CA 90277
Some features on this profile are disabled
CRD#: 5248941
MM
Professional summary
Matthew John Marshall is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Redondo Beach, California and KESTRA INVESTMENT SERVICES, LLC located in Redondo Beach, California.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Matthew has worked at 5 firms and has passed the Series 65, Series 63, SIE 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.
Business Name: FINANCIAL POINTE POSITION: Advisor NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/28/2023 ADDRESS: 229 Avenue I, Ste 300, Redondo Beach CA 90277, United States DESCRIPTION: Registered Rep Business Name: KESTRA ADVISORY SERVICES, LLC POSITION: Registered Rep NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/03/2023 ADDRESS: 5707 Southwest Parkway, Building 2 Suite 400, Austin TX 78735, United States DESCRIPTION: Providing advisory services through Kestra Advisory Services, LLC Business Name: MEDICAL ACCOUNTING SERVICE, INC. POSITION: Accountant NATURE: Tax/Accounting/CPA INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 80 START DATE: 01/01/2012 ADDRESS: 229 Avenue I, Ste 300, Redondo Beach CA 90277, United States DESCRIPTION: Prepare tax returns for clients Business Name: FINANCIAL POINTE POSITION: Advisor NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/28/2023 ADDRESS: 229 Avenue I, Ste 300, Redondo Beach CA 90277, United States DESCRIPTION: Registered Rep Business Name: MEDICAL ACCOUNTING SERVICE, INC. POSITION: Accountant NATURE: Tax/Accounting/CPA INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 80 START DATE: 01/01/2012 ADDRESS: 229 Avenue I, Ste 300, Redondo Beach CA 90277, United States DESCRIPTION: Prepare tax returns for clients Business Name: KESTRA ADVISORY SERVICES, LLC POSITION: Registered Rep NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/03/2023 ADDRESS: 5707 Southwest Parkway, Building 2 Suite 400, Austin TX 78735, United States DESCRIPTION: Providing advisory services through Kestra Advisory Services, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Matthew John Marshall'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®
NoneExperience
Current
October 3, 2023 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 229 Avenue I Third Floor, Redondo Beach, CA 90277RIA
CRD#: 283330
Redondo Beach, CA
Current
October 3, 2023 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 229 Avenue I Third Floor, Redondo Beach, CA 90277BD
CRD#: 42046
Redondo Beach, CA
Past
September 1, 2023 - October 8, 2023
OSAIC WEALTH, INC.
RIA
CRD#: 23131
REDONDO BEACH, CA
Past
September 1, 2023 - October 8, 2023
OSAIC WEALTH, INC.
BD
CRD#: 23131
REDONDO BEACH, CA
Past
February 25, 2013 - September 1, 2023
OSAIC SERVICES, INC.
RIA
CRD#: 133763
REDONDO BEACH, CA
Past
February 20, 2013 - September 1, 2023
OSAIC SERVICES, INC.
BD
CRD#: 133763
REDONDO BEACH, CA
Past
October 8, 2010 - January 18, 2013
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
PLEASANTON, CA
Past
February 26, 2010 - January 18, 2013
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
PLEASANTON, CA
Past
August 21, 2007 - February 17, 2009
COWEN AND COMPANY
BD
CRD#: 7616
SAN FRANCISCO, 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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(10/3/2023)
IAR
California(10/3/2023)
RR
Colorado(10/3/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
