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MM

Matthew Mai

DFPG INVESTMENTS
Sandy, UT 84070
Some features on this profile are disabled
CRD#: 6368927
MM

Professional summary

Matthew Mai, who also goes by Matt Mai, Matt Mai, is a registered financial professional currently at DFPG INVESTMENTS, LLC located in Sandy, Utah.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2015. Matthew has worked at 6 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Matt Mai | Matt Mai

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) - BD

Click below to view Matthew Mai's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

February 21, 2026 - Present

DFPG INVESTMENTS, LLC

Office #1: 9017 S Riverside Drive Suite 210, Sandy, UT 84070
BD
CRD#: 155576
Sandy, UT
Past

August 9, 2021 - July 14, 2025

PACIFIC OAK CAPITAL MARKETS, LLC

BD
CRD#: 309350
COSTA MESA, CA
Past

April 19, 2021 - August 3, 2021

ALLSTATE FINANCIAL ADVISORS, LLC

RIA
CRD#: 109524
Anaheim, CA
Past

April 16, 2021 - August 3, 2021

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
Lincoln, NE
Past

January 18, 2017 - March 30, 2021

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
GARDEN GROVE, CA
Past

September 16, 2016 - March 30, 2021

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
GARDEN GROVE, CA
Past

May 5, 2015 - September 6, 2016

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
El Segundo, CA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(2/21/2026)
RR
Alaska
(2/21/2026)
RR
Arizona
(2/21/2026)
RR
Arkansas
(2/21/2026)
RR
California
(2/21/2026)
RR
Colorado
(2/21/2026)
RR
Connecticut
(2/21/2026)
RR
Delaware
(2/21/2026)
RR
District of Columbia
(2/21/2026)
RR
Florida
(2/21/2026)
RR
Georgia
(2/21/2026)
RR
Hawaii
(2/21/2026)
RR
Idaho
(2/21/2026)
RR
Illinois
(2/21/2026)
RR
Indiana
(2/21/2026)
RR
Iowa
(2/21/2026)
RR
Kansas
(2/21/2026)
RR
Kentucky
(2/21/2026)
RR
Louisiana
(2/21/2026)
RR
Maine
(2/21/2026)
RR
Maryland
(2/21/2026)
RR
Massachusetts
(2/21/2026)
RR
Michigan
(2/21/2026)
RR
Minnesota
(2/21/2026)
RR
Mississippi
(2/21/2026)
RR
Missouri
(2/21/2026)
RR
Montana
(2/21/2026)
RR
Nebraska
(2/21/2026)
RR
Nevada
(2/21/2026)
RR
New Hampshire
(2/21/2026)
RR
New Jersey
(2/21/2026)
RR
New Mexico
(2/21/2026)
RR
New York
(2/21/2026)
RR
North Carolina
(2/21/2026)
RR
North Dakota
(2/21/2026)
RR
Oklahoma
(2/21/2026)
RR
Oregon
(2/21/2026)
RR
Pennsylvania
(2/21/2026)
RR
Puerto Rico
(2/21/2026)
RR
Rhode Island
(2/21/2026)
RR
South Carolina
(2/21/2026)
RR
South Dakota
(2/21/2026)
RR
Tennessee
(2/21/2026)
RR
Texas
(2/21/2026)
RR
Utah
(2/21/2026)
RR
Vermont
(2/21/2026)
RR
Virginia
(2/21/2026)
RR
Washington
(2/21/2026)
RR
West Virginia
(2/21/2026)
RR
Wisconsin
(2/21/2026)
RR
Wyoming
(2/21/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/9/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/10/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/28/2020
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/5/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/23/2015
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DI
DFPG INVESTMENTS, LLC
1031 CAPITAL SOLUTIONS | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SUMMIT GROUP WEALTH ADVISORS | SERRATELLI FINANCIAL GROUP | SENTINELROCK WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PARKVIEW WEALTH ADVISORS | OXFORD FINANCIAL GROUP | NUCLEUS FINANCIAL GROUP | MARCH | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | HULSEY FINANCIAL | GROVE WEALTH ADVISORS | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES | DIVERSIFY ADVISOR NETWORK | DFPG INVESTMENTS, LLC | DFPG INVESTMENTS, INC. | DFPG INSURANCE, INC. | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BRENT REED FINANCIAL SERVICES | ASHLAND PACIFIC

CRD#: 155576 / SEC#: 801-107896, 8-68730

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
9017 S Riverside Drive Suite 210, Sandy, UT 84070
Mailing Address
9017 S Riverside Drive Suite 210, Sandy, UT 84070
Phone number
(801) 838-9999
Established
Utah since 10/12/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
20

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

DFPG FORM ADV PART 2A (3/29/2024)
DIVERSIFY ADVISORY SERVICES FORM ADV PART 2A (3/29/2024)
DFPG FORM ADV PART 2A_03.28.2023 (3/29/2024)

Direct owners and executive officers

NamePositionCRD#
FALCON PARK CAPITAL, LLCLIMITED LIABILITY COMPANY
ANDERSON, JASONCHIEF COMPLIANCE OFFICER5867122
ANDERSON, JOHN BRADLEYCEO6037308
BADALAMENTI, CHARLES RICHARDFINOP2065038
LAGA, DAVID RYANCFO & COO4919873

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.

Company Information

DFPG INVESTMENTS, LLC

CRD#: 155576Sandy, UT 84070

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