Matthew P. Serrano

CAPITAL MANAGEMENT ASSOCIATES

Minneapolis, MN 55431-1120

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CRD#: 6887869

Professional summary

Matthew Paul Serrano, CFP®, who also goes by Matthew Serrano, is a registered financial advisor currently at CAPITAL MANAGEMENT ASSOCIATES INC located in Minneapolis, Minnesota and CAPITAL MANAGEMENT SECURITIES, INC. located in Minneapolis, Minnesota.

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 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Matthew Serrano

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 ENTITY: 3rd Decade ADDRESS: 4729 E. Sunrise Dr.#331 Tucson, Arizona 85718 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Volunteer Financial Coaching CAPACITY: Other START DATE: 01.01.23 DUTIES: Pro bono financial coaching for young adults looking to improve their financial literacy and circumstances. PER MONTH: 0; SECURITIES HOURS: 0 2) NAME OF ENTITY: Wings for Widows ADDRESS: 290 Peavey Road, Wayzata MN 55391 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Financial coaching for recent widows CAPACITY: Other START DATE: 01.01.23 DUTIES: Volunteer financial coaching for recent widows PER MONTH: 0; SECURITIES HOURS: 0

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Paul Serrano'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®

CFP^®

Certified Financial Planner

Experience

Current

October 15, 2025 - Present

CAPITAL MANAGEMENT ASSOCIATES INC

Office #1: 7900 Xerxes Ave. S, Ste 500, Minneapolis, MN 55431-1120

RIA

CRD#: 105010

Minneapolis, MN

Current

October 15, 2025 - Present

CAPITAL MANAGEMENT SECURITIES, INC.

Office #1: 7900 Xerxes Ave S. #500, Minneapolis, MN 55431-1120

CRD#: 10579

Minneapolis, MN

Past

June 25, 2019 - September 26, 2025

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

JERICHO, NY

Past

June 25, 2019 - September 26, 2025

RBC CAPITAL MARKETS, LLC

CRD#: 31194

JERICHO, NY

Past

February 15, 2019 - April 2, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN MATEO, CA

Past

July 19, 2018 - April 2, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN MATEO, CA

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".

CAPITAL MANAGEMENT ASSOCIATES INC

CAPITAL MANAGEMENT ASSOCIATES INC | UNITED INVESTMENT GROUP | RONIN ADVISORY | FIRST ADVISORS

CRD#: 105010 / SEC#: 801-35808

RIA

Registered Investment Advisory firm - (1/2/1990 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.

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

Minnesota
(10/15/2025)

IAR

Minnesota
(10/15/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/14/2019

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: 7/19/2018

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CAPITAL MANAGEMENT ASSOCIATES INC

CAPITAL MANAGEMENT ASSOCIATES INC | UNITED INVESTMENT GROUP | RONIN ADVISORY | FIRST ADVISORS

CRD#: 105010 / SEC#: 801-35808

RIA

Registered Investment Advisory firm - (1/2/1990 Approved)

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Contact information

Main Address

7900 Xerxes Ave. S, Ste 500, Minneapolis, MN 55431-1120

Mailing Address

Phone number

(952) 893-1200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART IIA 3.31.25 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	932
AUM (Assets Under Management)	$ 1,627,864,626

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. Serrano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CAPITAL MANAGEMENT SECURITIES, INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CAPITAL MANAGEMENT ASSOCIATES INC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/14/2019

SIE

Date: 10/1/2018

Series 7

Date: 7/19/2018

FINRA

Current Firm

CAPITAL MANAGEMENT ASSOCIATES INC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL MANAGEMENT ASSOCIATES INC

TRUST BUT VERIFY

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