Matthew J. Schuberg
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 J Schuberg, CFP®, who also goes by Matt James Schuberg, Matthew J Schuberg, Matthew James Schuberg, Matt Schuberg, Matthew Schuberg, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2013. Matthew had worked at 6 firms and has passed the Series 66, Series 6TO, Series 7TO, 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
Start date: 2021
Experience
February 22, 2022 - June 10, 2022
KOA WEALTH MANAGEMENT, LLC
November 18, 2021 - February 13, 2022
J.P. MORGAN SECURITIES LLC
December 9, 2019 - March 8, 2021
MORGAN STANLEY
December 9, 2019 - March 8, 2021
MORGAN STANLEY
April 15, 2019 - July 23, 2019
SECURITIES AMERICA, INC.
February 17, 2016 - March 15, 2016
COOPER MCMANUS
April 14, 2015 - March 14, 2016
SECURITIES AMERICA, INC.
June 13, 2013 - July 16, 2013
EQUITABLE ADVISORS, LLC
May 3, 2013 - July 16, 2013
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
KOA WEALTH MANAGEMENT, LLC
CRD#: 297004 / SEC#: 801-118718
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 4/15/2019
General Securities Representative ExaminationCurrent Firm
KOA WEALTH MANAGEMENT, LLC
CRD#: 297004 / SEC#: 801-118718
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 744 |
| AUM (Assets Under Management) | $ 231,100,804 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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