Matthew Smith

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CRD#: 6351345

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 Smith, who also goes by Matthew James Smith, was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 2014. Matthew had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Aliases

Matthew James Smith

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.

1. NAME OF OTHER BUSINESS: NEBRASKA AIR NATIONAL GUARD INVESTMENT RELATED: NO ADDRESS: 2420 WEST BUTLER AVE LINCOLN, NE 58524 NATURE OF BUSINESS: MILITARY SERVICE START DATE: 02/2014 POSITION/TITLE/RELATIONSHIP: TRADITIONAL GUARDSMAN APX NUMBER OF HOURS PER WEEK: 24 PER MONTH APX NUMBER OF HOURS DURING TRADING HOURS: NONE BRIEF DESCRIPTION OF DUTIES: FORCE SUPPORT OFFICER 2. NAME OF OTHER BUSINESS: MATINEE MICROFARMS; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: FRESH PRODUCE; START DATE: 03/2023; POSITION/TITLE/RELATIONSHIP: FOUNDER/OWNER; APX NUMBER OF HOURS PER WEEK: 5-15; APX NUMBER OF HOURS DURING TRADING HOURS: 5-15; BRIEF DESCRIPTION OF DUTIES: SELLING LOCAL PRODUCE, WHEATGRASS, PET GRASS AND MICROGREENS TO THE GENERAL PUBLIC;

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

July 23, 2025 - July 29, 2026

FAIRWAY ASSET MANAGEMENT, LLC

RIA

CRD#: 146636

OMAHA, NE

Past

August 7, 2019 - June 18, 2025

CETERA WEALTH SERVICES, LLC

CRD#: 13572

OMAHA, NE

Past

September 4, 2018 - April 16, 2019

TD AMERITRADE CLEARING, INC.

CRD#: 5633

OMAHA, NE

Past

August 8, 2017 - April 16, 2019

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

April 5, 2016 - July 5, 2017

AXOS CLEARING LLC

CRD#: 117176

OMAHA, NE

Past

July 15, 2014 - March 3, 2015

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

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".

FAIRWAY ASSET MANAGEMENT, LLC

CRD#: 146636 / SEC#: 801-134335

RIA

Registered Investment Advisory firm - (9/16/2025 Approved)

California

Registered Investment Advisory firm - (12/25/2025 Terminated)

Florida

Registered Investment Advisory firm - (11/25/2025 Terminated)

Georgia

Registered Investment Advisory firm - (12/22/2025 Terminated)

Iowa

Registered Investment Advisory firm - (12/1/2025 Terminated)

Mississippi

Registered Investment Advisory firm - (11/25/2025 Terminated)

Missouri

Registered Investment Advisory firm - (11/25/2025 Terminated)

Nebraska

Registered Investment Advisory firm - (3/30/2026 Terminated)

North Dakota

Registered Investment Advisory firm - (11/25/2025 Terminated)

Ohio

Registered Investment Advisory firm - (11/26/2025 Terminated)

Oklahoma

Registered Investment Advisory firm - (12/3/2025 Terminated)

Oregon

Registered Investment Advisory firm - (10/7/2013 Terminated)

Texas

Registered Investment Advisory firm - (11/25/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

What does exam status mean?

State Security Law Exam

Series 65

Status Unavailable

Passed: 7/23/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 7/24/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Status Unavailable

Passed: 5/31/2018

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 7/15/2014

General Securities Representative Examination

Current Firm

FAIRWAY ASSET MANAGEMENT, LLC

CRD#: 146636 / SEC#: 801-134335

RIA

Registered Investment Advisory firm - (9/16/2025 Approved)

California

Registered Investment Advisory firm - (12/25/2025 Terminated)

Florida

Registered Investment Advisory firm - (11/25/2025 Terminated)

Georgia

Registered Investment Advisory firm - (12/22/2025 Terminated)

Iowa

Registered Investment Advisory firm - (12/1/2025 Terminated)

Mississippi

Registered Investment Advisory firm - (11/25/2025 Terminated)

Missouri

Registered Investment Advisory firm - (11/25/2025 Terminated)

Nebraska

Registered Investment Advisory firm - (3/30/2026 Terminated)

North Dakota

Registered Investment Advisory firm - (11/25/2025 Terminated)

Ohio

Registered Investment Advisory firm - (11/26/2025 Terminated)

Oklahoma

Registered Investment Advisory firm - (12/3/2025 Terminated)

Oregon

Registered Investment Advisory firm - (10/7/2013 Terminated)

Texas

Registered Investment Advisory firm - (11/25/2025 Terminated)

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Contact information

Main Address

17445 Arbor Street Suite 200, Omaha, NE 68130-4645

Mailing Address

Phone number

(402) 932-4630

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/30/2026)

Regulatory assets under management

Total Number of Accounts	83
AUM (Assets Under Management)	$ 117,360,392

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 Smith

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

TD AMERITRADE CLEARING, INC.

TD AMERITRADE, INC.

AXOS CLEARING LLC

TD AMERITRADE, INC.

Primary Firm SEC Registration

FAIRWAY ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Passed: 7/23/2025

Series 63

Passed: 7/24/2014

SIE

Passed: 10/1/2018

Series 3

Passed: 5/31/2018

Series 7

Passed: 7/15/2014

Current Firm

FAIRWAY ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FAIRWAY ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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