Mathew L. Ricketts
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.
Mathew Lewis Ricketts, CFP®, who also goes by Mathew Rickett, Matt L Ricketts, Matt Ricketts, Ricketts, was a registered financial professional .
Mathew is a previously registered financial professional and started their career in finance in 2011. Mathew had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2015
Experience
May 4, 2022 - February 13, 2023
BEACON POINTE ADVISORS, LLC
May 3, 2014 - May 26, 2021
CHARLES SCHWAB & CO., INC.
April 3, 2014 - May 26, 2021
CHARLES SCHWAB & CO., INC.
August 30, 2011 - March 24, 2014
AMERICAN CENTURY INVESTMENT SERVICES INC.
Primary Firm SEC Registration
BEACON POINTE ADVISORS, LLC
CRD#: 119290 / SEC#: 801-60943
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
BEACON POINTE ADVISORS, LLC
CRD#: 119290 / SEC#: 801-60943
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 54,870 |
| AUM (Assets Under Management) | $ 39,839,757,384 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 12/26/2024 | ||
| 11/28/2023 |
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.
