Matthew J. Arndt

GALLATIN FINANCIAL ADVISORS

Mequon, WI

Some features on this profile are disabled

CRD#: 5290358

Professional summary

Matthew John Arndt, CFA, CFP®, who also goes by Matthew Arndt, is a registered financial advisor currently at GALLATIN FINANCIAL ADVISORS, LLC located in Mequon, Wisconsin.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Matthew has worked at 4 firms and has passed the Series 66, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Matthew Arndt

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.

FIXED INSURANCE SALES AS AGENT @ BRANCH OFFICE, INV RELATED PEAK CPAS; NOT INVESTMENT-RELATED; MILWAUKEE, WI; CPA; JANUARY 2019; 25 HRS/MO DURING TRADING HOURS; TAX RETURNS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew John Arndt'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®

CFA

Chartered Financial Analyst

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

August 6, 2012 - Present

GALLATIN FINANCIAL ADVISORS, LLC

RIA

CRD#: 164901

Mequon, WI

Past

May 19, 2010 - October 9, 2012

BALANCED ASSET STRATEGIES, LTD.

RIA

CRD#: 153520

CHICAGO, IL

Past

August 26, 2008 - May 17, 2010

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

LOMBARD, IL

Past

February 20, 2008 - May 17, 2010

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

LOMBARD, IL

Past

March 26, 2007 - December 10, 2007

LPL FINANCIAL LLC

RIA

CRD#: 6413

NAPERVILLE, IL

Past

March 12, 2007 - December 10, 2007

LPL FINANCIAL LLC

CRD#: 6413

NAPERVILLE, IL

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
(3/21/2024)

IAR

Illinois
(8/6/2012)

IAR

Pennsylvania
(1/11/2024)

IAR

Wisconsin
(8/7/2012)

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: 3/23/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 3/9/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/29/2009

General Securities Principal Examination

Current Firm

GALLATIN FINANCIAL ADVISORS, LLC

GALLATIN FINANCIAL ADVISORS, LLC | GALLATIN INVESTMENTS, LLC | GALLATIN FINANCIAL, LLC

CRD#: 164901 / SEC#:

California

Registered Investment Advisory firm - (3/21/2024 Approved)

Illinois

Registered Investment Advisory firm - (8/6/2012 Approved)

Pennsylvania

Registered Investment Advisory firm - (1/11/2024 Approved)

Wisconsin

Registered Investment Advisory firm - (8/7/2012 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Mequon, WI

Mailing Address

Phone number

(773) 332-0499

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	207
AUM (Assets Under Management)	$ 43,270,632

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Matthew J. Arndt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew John Arndt's CRS (Customer Relationship Summary).

Certified licenses

Experience

GALLATIN FINANCIAL ADVISORS, LLC

BALANCED ASSET STRATEGIES, LTD.

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

LPL FINANCIAL LLC

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/23/2007

Series 7

Date: 3/9/2007

Series 24

Date: 10/29/2009

Current Firm

GALLATIN FINANCIAL ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GALLATIN FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors