Matthew P. Allen

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CRD#: 6138738

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 Peter Allen was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 2014. Matthew had worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

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

Past

August 2, 2019 - May 18, 2021

SHAREBUILDER 401K

RIA

CRD#: 300537

SEATTLE, WA

Past

July 26, 2018 - August 1, 2019

CAPITAL ONE ADVISORS, LLC

RIA

CRD#: 136865

Seattle, WA

Past

July 26, 2018 - June 12, 2019

CAPITAL ONE INVESTING, LLC

CRD#: 45744

Seattle, WA

Past

May 15, 2014 - July 25, 2017

CAPITAL ONE ADVISORS, LLC

RIA

CRD#: 136865

MCLEAN, VA

Past

April 16, 2014 - July 25, 2017

CAPITAL ONE INVESTING, LLC

CRD#: 45744

SEATTLE, WA

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".

SHAREBUILDER 401K

SHAREBUILDER 401K | SHAREBUILDER ADVISORS, LLC

CRD#: 300537 / SEC#: 801-115195

RIA

Registered Investment Advisory firm - (5/3/2019 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/15/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/16/2014

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/6/2015

General Securities Principal Examination

Current Firm

SHAREBUILDER 401K

SHAREBUILDER 401K | SHAREBUILDER ADVISORS, LLC

CRD#: 300537 / SEC#: 801-115195

RIA

Registered Investment Advisory firm - (5/3/2019 Approved)

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Contact information

Main Address

801 Second Ave Suite 1400, Seattle, WA 98104

Mailing Address

801 Second Ave Suite 1400, Seattle, WA 98104

Phone number

(425) 213-9035

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SBA ADVII 2025 (6/3/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Matthew P. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL ONE ADVISORS, LLC

CAPITAL ONE INVESTING, LLC

CAPITAL ONE ADVISORS, LLC

CAPITAL ONE INVESTING, LLC

Primary Firm SEC Registration

SHAREBUILDER 401K

State Registrations and Notice Filings

Exams

Series 66

Date: 5/15/2014

SIE

Date: 10/1/2018

Series 7

Date: 4/16/2014

Series 24

Date: 7/6/2015

Current Firm

SHAREBUILDER 401K

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SHAREBUILDER 401K

TRUST BUT VERIFY

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