MS
Matthew B. Summe
DUNHAM
Chicago, IL
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CRD#: 6528204
MS
Matthew Brian SummeDUNHAM
Professional summary
Matthew Brian Summe, who also goes by Matthew B Summe, is a registered financial advisor currently at DUNHAM located in Chicago, Illinois.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Matthew has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
Matthew B Summe
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. 03/2025 - Stratos Wealth Partners / DBA for LPL Business (entity for LPL business) Inv Related / At reported business location (s) 160 Hrs per month - 100% Time Spent 2. 04/22/2025 - LPL Financial, LLC (Registered Representative) - Investment Related - At Reported Business Location (s) - 100% time spent between LPL Financial, LLC and Stratos Wealth Partners, Ltd. 3. 05/02/2025 - Stratos Wealth Partners, LTD - Registered Investment Advisor DBA - Inv Related -At reported business location (s) - Start Date: 03/17/2025 - 160 Hrs/Mth - 40 Hrs During Trading. 4. 05/02/2025 - Stratos Wealth Partners, LTD - Registered Investment Advisor Hybrid - Inv Related -At reported business location (s) - Start Date: 03/17/2025 - 160 Hrs/Mth - 40 Hrs During Trading. I provide investment advisory services through Stratos Wealth Partners, LTD, an independent investment advisor firm. I started this business activity in 3/2025. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Brian Summe's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew Brian Summe's 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®
NoneExperience
Current
September 2, 2026 - Present
DUNHAM
RIA
BD
CRD#: 13162
Chicago, IL
Current
September 4, 2026 - Present
DUNHAM
Office #1: 6256 Greenwich Drive Suite 550, San Diego, CA 92122Office #2: 6256 Greenwich Drive Suite 550, San Diego, CA 92122Office #3: 6256 Greenwich Drive Suite 550, San Diego, CA 92122RIA
BD
CRD#: 13162
SAN DIEGO, CA
Past
April 28, 2025 - June 12, 2026
STRATOS WEALTH PARTNERS, LTD
RIA
CRD#: 153184
Elmhurst, IL
Past
April 24, 2025 - June 9, 2026
LPL FINANCIAL LLC
BD
CRD#: 6413
ELMHURST, IL
Past
June 22, 2021 - December 6, 2024
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CHICAGO, IL
Past
June 22, 2021 - December 6, 2024
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CHICAGO, IL
Past
April 24, 2019 - June 8, 2021
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
CHICAGO, IL
Past
October 29, 2018 - June 8, 2021
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
CHICAGO, IL
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".
DU
DUNHAM
DUNHAM | LAGUNA FINANCIAL SERVICES, INC. | DUNHAM AND ASSOCIATES INVESTMENT COUNSEL, INC. | DUNHAM & GREER, INC. INVESTMENT COUNSEL | DUNHAM & GREER INVESTMENT COUNSEL | DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC.
CRD#: 13162 / SEC#: 801-25803, 8-28527
RIA
Registered Investment Advisory firm - SEC (11/29/1985 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(9/2/2026)
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DU
DUNHAM
DUNHAM | LAGUNA FINANCIAL SERVICES, INC. | DUNHAM AND ASSOCIATES INVESTMENT COUNSEL, INC. | DUNHAM & GREER, INC. INVESTMENT COUNSEL | DUNHAM & GREER INVESTMENT COUNSEL | DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC.
CRD#: 13162 / SEC#: 801-25803, 8-28527
RIA
Registered Investment Advisory firm - SEC (11/29/1985 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
6256 Greenwich Drive Suite 550, San Diego, CA 92122
Mailing Address
P.o. Box 910309, San Diego, CA 92191
Phone number
(858) 964-0500
Established
California since 05/26/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
43
SEC notice filing (14 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DUNHAM & ASSOCIATES HOLDINGS, INC. | SHAREHOLDER | |
| BOISCH, HELMUT | CHIEF OPERATIONS OFFICER | 5371920 |
| CAPIZZI, SALVATORE MICHAEL | CHIEF SALES AND MARKETING OFFICER | 1037757 |
| DUNHAM, JEFFREY ALAN | CHIEF EXECUTIVE OFFICER | 1149167 |
| DYKMANS, RYAN JOHN | PRESIDENT AND CHIEF INVESTMENT OFFICER | 4847419 |
| GARDYNE, JENNIFER KIM | CHIEF FINANCIAL OFFICER | 8188759 |
| PALERMO, VIKTORIA IRENA | CHIEF COMPLIANCE OFFICER | 4769903 |
Regulatory assets under management
| Total Number of Accounts | 13,155 |
| AUM (Assets Under Management) | $ 5,627,638,262 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2025 | ||
| 10/23/2024 | ||
| 07/26/2023 |
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.
