MQ
Matthew D. Quan
CETERA INVESTMENT ADVISERS LLC
LOS ALAMITOS, CA 90720
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CRD#: 5394219
MQ
Professional summary
Matthew David Quan is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Los Alamitos, California and CETERA WEALTH SERVICES, LLC located in Los Alamitos, California.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Matthew has worked at 2 firms and has passed the Series 66, 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.
1. NAME OF OTHER BUSINESS: GORDON T QUAN
INVESTMENT RELATED: NO
ADDRESS: 3532 KATELLA AVENUE SUITE 107 LOS ALAMITOS, CA 90720
NATURE OF BUSINESS: TAX PREPARATION
START DATE: 06/1999
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 40
BRIEF DESCRIPTION OF DUTIES: PERSONAL AND BUSINESS INCOME TAX PREPARATION
2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FIXED INSURANCE
START DATE: 11/2018
APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ;
APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ;
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT
BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH AND DISABILITY ;
3. NAME OF OTHER BUSINESS: AARP
INVESTMENT RELATED: NO
ADDRESS: 8150 KNOTT AVE BUENA PARK CA 90620
NATURE OF BUSINESS: TAX PREP
START DATE: 2/2014
APX NUMBER OF HOURS PER WEEK: 4
APX NUMBER OF HOURS DURING TRADING HOURS: 4
POSITION/TITLE/RELATIONSHIP: VOLUNTEER
BRIEF DESCRIPTION OF DUTIES: HELP LOW INCOME & ELDERLY PEOPLE PREPARE TAX RETURNS
4. NAME OF OTHER BUSINESS: N/A
INVESTMENT RELATED: NO
ADDRESS: 6782 HOUSTON ST BUENA PARK CA 92802
NATURE OF BUSINESS: REAL ESTATE RENTAL
START DATE: 12/2014
APX NUMBER OF HOURS PER WEEK: 0
APX NUMBER OF HOURS DURING TRADING HOURS: 0
POSITION/TITLE/RELATIONSHIP: CO-OWNER
BRIEF DESCRIPTION OF DUTIES: PROFESSIONAL MANAGEMENT COMPANY MANAGES &COLLECTS RENT
5. NAME OF OTHER BUSINESS: MATTHEW QUAN
INVESTMENT RELATED: NO
ADDRESS: SAME AS RESIDENTIAL ADDRESS
NATURE OF BUSINESS: FIRE ARMS TRAINING
START DATE: 12/2006
APX NUMBER OF HOURS PER WEEK: 0
APX NUMBER OF HOURS DURING TRADING HOURS: 0
POSITION/TITLE/RELATIONSHIP: INSTRUCTOR
BRIEF DESCRIPTION OF DUTIES: CERTIFIED PISTOL & PERSONAL PROTECTION, TEACH FAMILY MEMBERS & FRIENDS EVERY FEW YEARS
CRS (Client Relationship Summary) - RIA
Click below to view Matthew David Quan'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3502 Katella Ave Suite 207, Los Alamitos, CA 90720RIA
CRD#: 105644
LOS ALAMITOS, CA
Current
August 11, 2014 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3502 Katella Ave Suite 207, Los Alamitos, CA 90720BD
CRD#: 13572
Los Alamitos, CA
Past
December 8, 2014 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
Arizona(7/8/2016)
RR
California(11/24/2014)
IAR
California(6/29/2023)
RR
Illinois(12/6/2018)
RR
Texas(11/21/2018)
IAR
Texas(6/29/2023)
RR
Washington(3/15/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
