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MP

Matthew D. Pappas

COTTONWOOD WEALTH STRATEGIES
Salt Lake City, UT 84101
Some features on this profile are disabled
CRD#: 5704052
MP

Professional summary

Matthew Donald Pappas, who also goes by Matthew D Pappas, is a registered financial advisor currently at COTTONWOOD WEALTH STRATEGIES, LLC located in Salt Lake City, Utah.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Matthew has worked at 3 firms and has passed the Series 66, Series 7TO, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Matthew D Pappas

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.
SILICON SLOPES - NOT INVESTMENT RELATED - 2600 EXECUTIVE PKWY #140, LEHI, UT 84043 - NON-PROFIT ORGANIZATION - BOARD MEMBER - START 05/2024 - 4 HOURS PER MONTH - 0 HOURS DURING TRADING HOURS - MEET WITH BOARD MEMBERS TO DISCUSS BUSINESS TOPICS. SOX, LLC - INVESTMENT RELATED - 950 PENINSULA CORP CIR #3010, BOCA RATON, FL 33487 - EROSION CONTROL COMPANY - BOARD MEMBER - START 01/2022 - 5 HOURS PER MONTH - 0 HOURS DURING TRADING HOURS - MEET WITH BOARD MEMBERS TO DISCUSS BUSINESS DEVELOPMENT. SCOUT VENTURES LIMITED PARTNERS - INVESTMENT RELATED - 200 ACADEMY DRIVE, SUITE 100, AUSTIN, TX 78704 - VENTURE CAPITAL COMPANY - BOARD MEMBER - START 03/2024 - 2 HOURS PER MONTH - 0 HOURS DURING TRADING HOURS - MEET WITH BOARD MEMBERS TO DISCUSS FUND AND INVESTMENT OPPORTUNITIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Donald Pappas's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 19, 2021 - Present

COTTONWOOD WEALTH STRATEGIES, LLC

Office #1: 650 S. 500 W. Suite 176, Salt Lake City, UT 84101
RIA
CRD#: 311272
Salt Lake City, UT
Past

November 18, 2010 - February 24, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
PARK CITY, UT
Past

October 21, 2010 - February 24, 2021

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
PARK CITY, UT
Past

October 26, 2009 - October 29, 2010

MORGAN STANLEY

RIA
CRD#: 149777
SALT LAKE CITY, UT
Past

September 30, 2009 - October 29, 2010

MORGAN STANLEY

BD
CRD#: 149777
SALT LAKE CITY, UT

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".
CW
COTTONWOOD WEALTH STRATEGIES, LLC
ASYMM VENTURES | COTTONWOOD WEALTH STRATEGIES, LLC | COTTONWOOD CAPITAL ADVISORS, LLC

CRD#: 311272 / SEC#: 801-119782

RIA
Registered Investment Advisory firm - (11/12/2020 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.

Highlighted states indicate IAR registrations

IAR
Texas
(3/12/2025)
IAR
Utah
(2/19/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/15/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/22/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 3/3/2010
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/29/2009
General Securities Representative Examination

Current Firm

CW
COTTONWOOD WEALTH STRATEGIES, LLC
ASYMM VENTURES | COTTONWOOD WEALTH STRATEGIES, LLC | COTTONWOOD CAPITAL ADVISORS, LLC

CRD#: 311272 / SEC#: 801-119782

RIA
Registered Investment Advisory firm - (11/12/2020 Approved)
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Contact information

Main Address
650 South 500 West Suite #185, Salt Lake City, UT 84101
Mailing Address
Phone number
(385) 853-5000
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (7 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

COTTONWOOD WEALTH STRATEGIES FORM ADV PART 2A APPENDIX 1 WRAP BROCHURE (3/12/2025)
COTTONWOOD WEALTH STRATEGIES FORM ADV PART 2A BROCHURE (3/12/2025)

Regulatory assets under management

Total Number of Accounts630
AUM (Assets Under Management)$ 306,322,859

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

COTTONWOOD WEALTH STRATEGIES, LLC

CRD#: 311272Salt Lake City, UT 84101

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