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

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
Matthew James Bungo

Matthew J. Bungo

Some features on this profile are disabled
CRD#: 5579570
Matthew James Bungo

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 James Bungo, CFP® was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 2008. Matthew had worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

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®
CFP®

Certified Financial Planner

Start date: 2014

Experience

Past

November 3, 2022 - May 19, 2024

TD AMERITRADE, INC.

BD
CRD#: 7870
FORT WORTH, TX
Past

January 7, 2010 - April 30, 2026

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Mountain Brook, AL
Past

January 7, 2010 - April 30, 2026

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Mountain Brook, AL
Past

January 5, 2009 - December 2, 2009

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
THE WOODLANDS, TX
Past

December 10, 2008 - December 2, 2009

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
THE WOODLANDS, TX

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: 12/30/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/8/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/17/2015
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 6/8/2015
General Securities Sales Supervisor - Options Module Examination

Current Firm

TD AMERITRADE, INC.
TD AMERITRADE, INC.
TD AMERITRADE, INC. | WATERHOUSE SECURITIES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC.

CRD#: 7870 / SEC#: 801-60469, 8-23395

BD
Terminated by SEC on 09/17/2024
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
200 South 108th Avenue, Omaha, NE 68154
Mailing Address
Phone number
(800) 669-3900
Established
New York since 09/29/1978
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
5,840

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
TD AMERITRADE ONLINE HOLDINGS LLC.OWNER
KONOP, LYNN MARIECHIEF COMPLIANCE OFFICER - BD1216310
KOSTULIAS, JAMES ROBERTPRESIDENT3091009
STARR, JEFFREY HAROLDMANAGING DIRECTOR, OPERATIONS4700461
THOMPSON, AARON MARKCHIEF FINANCIAL OFFICER/FINOP6483170

Disclosures

Regulatory Event83
Civil Event1
Arbitration144

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

TD AMERITRADE, INC.

TD AMERITRADE, INC.

CRD#: 7870

TRUST BUT VERIFY

Monitor Matthew Bungo

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

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
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.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.