MM
Matthew E. Morice
CETERA INVESTMENT ADVISERS LLC
STE. GENEVIEVE, MO 63670
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CRD#: 6868090
MM
Professional summary
Matthew Edward Morice, who also goes by Matt E Morice, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Ste. Genevieve, Missouri and CETERA FINANCIAL SPECIALISTS LLC located in Ste. Genevieve, Missouri.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Matthew has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matt E Morice
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) MISSOURI STATE HIGHWAY PATROL, NOT INVESTMENT RELATED, JEFFERSON CITY, MO, STATE TROOPER FOR THE STATE OF MISSOURI, 40H/WEEK, 20H DURING TRADING HOURS, SINCE 05/2005. 2) HSB ADVISORS LLC, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, TAX PREPARATION FOR HSB ADVISORS, 10H/WEEK, 2H/WEEK DURING TRADING HOURS, SINCE 02/2019. 3) HSB FINANCIAL SOLUTIONS, LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, DBA FOR INVESTMENT BUSINESS, FINANCIAL ASSISTANT, LICENSED TO HELP WITH FINANCIAL SERVICES TO CLIENT, <20H/WEEK, SINCE 07/2021 4) NAME OF OTHER BUSINESS: HELIAS CATHOLIC HIGH SCHOOL; INVESTMENT RELATED: NO ; ADDRESS: 1305 SWIFTS HIGHWAY JEFFERSON CITY, MO 65109; NATURE OF BUSINESS: COACHING; START DATE: 08/2023; POSITION/TITLE/RELATIONSHIP: ASSISTANT FOOTBALL; APX NUMBER OF HOURS PER WEEK 20; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: ASSISTAN FOOTBALL COACH; 5) NAME OF OTHER BUSINESS: MISSOURI ASSOCIATION OF PROSECUTING ATTORNEYS; INVESTMENT RELATED: NO ; ADDRESS: P O BOX 899 JEFFERSON CITY, MO 65102; NATURE OF BUSINESS: EDUCATION; START DATE: 01/2024; POSITION/TITLE/RELATIONSHIP: INSTRUCTOR; APX NUMBER OF HOURS PER WEEK VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: TEACHING CLASSES ON LEGAL TRAFFIC STOPS; 6) NAME OF OTHER BUSINESS: MISSOURI STATE TROOPERS ASSOCIATION; INVESTMENT RELATED: NO ; ADDRESS: 1729 E. ELM ST APT 202 JEFFERSON CITY, MO 65101; NATURE OF BUSINESS: BOARD; START DATE: 02/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: CHAPTER REPRESENTATIVE, ADVOCATING FOR THE MEMBERS OF THE MISSOURI STATE HIGHWAY PATROL;
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Edward Morice'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
July 21, 2021 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 21450 Highway 32, Ste. Genevieve, MO 63670RIA
CRD#: 105644
STE. GENEVIEVE, MO
Current
July 23, 2021 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 21450 Highway 32, Ste. Genevieve, MO 63670BD
CRD#: 10358
Ste. Genevieve, MO
Past
January 3, 2018 - August 7, 2019
EDWARD JONES
RIA
CRD#: 250
Ste Genevieve, MO
Past
December 6, 2017 - August 7, 2019
EDWARD JONES
BD
CRD#: 250
Ste Genevieve, MO
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.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
IAR
Missouri(7/21/2021)
RR
Missouri(7/23/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
