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MR

Matthew Steven Richards

CRD# 5696855·Registered 2012 - 2024
Previously Registered: Being a previously registered professional could mean that Matthew 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.

Professional Summary

Matthew Steven Richards, who also goes by Matt Richards, was a registered financial advisor. Matthew was a previously registered financial professional and started their career in finance 2012 - 2024. Matthew had worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Matt Richards

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

14 years in the financial services industry

Current & Past Employments

TPG CAPITAL BD, LLC·CRD# 143876
BD
New York, NY
December 8, 2023 - December 20, 2024
PIMCO INVESTMENTS LLC·CRD# 154957
BD
Newport Beach, CA
October 25, 2012 - August 7, 2015

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Current Firm

TC
TPG CAPITAL BD, LLC

TPG CAPITAL BD, LLC

CRD#: 143876 / SEC#: 8-67616
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Contact Information

Main Address

301 Commerce Street Ste 3300, Fort Worth, TX 76102

Mailing Address

301 Commerce Street Ste 3300, Fort Worth, TX 76102

Phone Number

(817) 871-4000

Established

Texas since 03/21/2007

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TPG BD ADVISORS, LLCSOLE MEMBER—
DAVIDSON, MARTIN LOUISFINOP AND PRINCIPAL FINANCIAL OFFICER5330788
UMAYAM, MICHAELCHIEF COMPLIANCE OFFICER6814011
WEINGART, JACK CHARLESCEO1879144

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 2023About the Series 63 exam

Series 7TO — General Securities Representative Examination

Passed Dec 2023About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2023About the SIE exam

Series 7 — General Securities Representative Examination

Passed Oct 2012About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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