AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MM

Matthew S. Monahan

Some features on this profile are disabled
CRD#: 5421380
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 Shaughnessy Monahan, who also goes by Matthew Monahan, was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 2007. Matthew had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Matthew Monahan

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

February 19, 2014 - April 17, 2018

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
NEW YORK, NY
Past

November 11, 2008 - February 20, 2014

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

September 22, 2008 - December 2, 2008

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

November 14, 2007 - September 22, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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
Series 63
Date: 1/26/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/17/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/13/2007
General Securities Representative Examination

Current Firm

HL
HOULIHAN LOKEY CAPITAL, INC.
HLHZ CAPITAL, A CALIFORNIA LIMITED PARTNERSHIP | HOULIHAN, LOKEY, HOWARD & ZUKIN CAPITAL, INC. | HOULIHAN, LOKEY, HOWARD & ZUKIN CAPITAL | HOULIHAN LOKEY HOWARD & ZUKIN CAPITAL, L.P. | HOULIHAN LOKEY HOWARD & ZUKIN CAPITAL, INC. | HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708 / SEC#: , 8-35643

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067
Mailing Address
10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067
Phone number
(310) 553-8871
Established
California since 01/09/1996
Firm type
Corporation
Fiscal year end
March
Firm Size
Large
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HOULIHAN LOKEY AMERICAS (HOLDINGS) LLCDIRECT OWNER OF HOULIHAN LOKEY CAPITAL, INC.
ADELSON, SCOTT JOSEPHPRESIDENT/CEO AND DIRECTOR (HLI)2147111
ALLEY, JAMES LINDSEYTREASURER/CHIEF FINANCIAL OFFICER (HLI)2394515
BEISER, SCOTT LEEVICE PRESIDENT/CO-CHAIRMAN AND DIRECTOR (HLI)2026185
BEN-CANAAN, MARC AVICCO/AMLCO4885345
CRAIN, CHRISTOPHER MADISONSECRETARY/GENERAL COUNSEL
TANIGUCHI, EDWARD NEALCHIEF FINANCIAL OFFICER, FINOP4632869
YAMARONE, CHARLES ANTHONY IIICHIEF CORP.GOVERNANCE & COMPLIANCE OFFICER, HLI2190400

Disclosures

Regulatory Event2

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

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708

TRUST BUT VERIFY

Monitor Matthew Monahan

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.