Matthew J. Aust
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 Aust was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2010. Matthew had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2013 - January 31, 2017
AVANTAX ADVISORY SERVICES
August 8, 2013 - January 31, 2017
AVANTAX INVESTMENT SERVICES, INC.
July 15, 2013 - August 2, 2013
EDWARD JONES
July 15, 2013 - August 2, 2013
EDWARD JONES
October 30, 2012 - July 12, 2013
AVANTAX ADVISORY SERVICES
October 30, 2012 - July 12, 2013
AVANTAX INVESTMENT SERVICES, INC.
March 17, 2011 - November 5, 2012
VOYA FINANCIAL ADVISORS, INC.
March 11, 2011 - November 5, 2012
VOYA FINANCIAL ADVISORS, INC.
September 9, 2010 - February 7, 2011
WADDELL & REED
August 27, 2010 - February 7, 2011
WADDELL & REED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
