MK
Matthew M. Kelleher
WEDBUSH SECURITIES
Seattle, WA 98101
Some features on this profile are disabled
CRD#: 714170
MK
Professional summary
Matthew Mackay Kelleher is a registered financial advisor currently at WEDBUSH SECURITIES INC. located in Seattle, Washington.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Matthew has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) HDK INVESTMENTS LLC / INVESTMENT-RELATED / SEATTLE, WA / REAL ESTATE LLC / PARTNER / START 06/2014 / APPROX: 4 HOURS MONTHLY / 1 HOUR PER MONTH DURING BUSINESS HOURS / DUTIES: COMMERCIAL REAL ESTATE OWNER (2) JDW PARTNERS / SEATTLE, WA / PARTNERSHIP/ REAL ESTATE / INVESTMENT RELATED/ PARKING LOT / MANAGING PARTNER / START DATE 12/2007 / APPROX: 4 HOURS MONTHLY / 1 HOUR PER MONTH DURING BUSINESS HOURS / DUTIES: OWN A SMALL PARKING LOT (15 SPACES) (3) JDW NORTH PROPERTIES LTD / SEATTLE, WA / INVESTMENT REALATED / CORPORATION / REAL ESTATE / PARTNER / START DATE 01/2008 / APPROX: 4 HOURS MONTHLY / 1 HOUR PER MONTH DURING BUSINESS HOURS / DUTIES: OWN REAL ESTATE (4) HELEN VIRGINA / INVESTMENT-RELATED / SEATTLE, WA / REAL ESTATE LLC / PARTNER / START 05/2007 / APPROX: 4 HOURS MONTHLY / 1 HOUR PER MONTH DURING BUSINESS HOURS / DUTIES: OWNER FAMILY RELATED HOMES The University Club / 1004 Boren Ave Seattle,WA 98104 / Other/ Other College Graduates in any field / Social events / Advisor or member of an advisory committee, if the advice given will or may influence the board or other senior management or supervisory board of the organization in question / / member of Finance Committee - 4 meetings per year / Start Date 3/31/2017/Social Club / sigma alpha episilon / 1500 N Warner Tacoma,WA 98416 / Other/ Education / none / Advisor or member of an advisory committee, if the advice given will or may influence the board or other senior management or supervisory board of the organization in question / / go to Chapter meetings / Start Date 1/1/2017/Fraternity House (6) PACIFIC TRUST COMPANY-REAL ESTATE INVESMENT COMPANY-INVESTMENT ADVISORY BOARD MEMBER;;QUARTERLY MEETING;;12 HOURS PER YEAR;; (7) NAME OF BUSINESS-CLEARSET;NATURE OF BUSINESS-INTERNET START UP;;WASHINGTON;POSITION-INVESTOR;;0 HOUR SPENT DURING TRADNG HOURS. (8) BAMM, LLC; Investment related; Seattle, WA; Holding LLC; Managing Member; Start: 06/2025; Approx: 1 hour monthly, none during business hours; Holding LLC for assets.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Mackay Kelleher's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew Mackay Kelleher'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
June 21, 2019 - Present
WEDBUSH SECURITIES INC.
Office #1: Two Union Square Ste 5050 601 Union Street, Seattle, WA 98101RIA
BD
CRD#: 877
Seattle, WA
Current
June 21, 2019 - Present
WEDBUSH SECURITIES INC.
Office #1: Two Union Square Ste 5050 601 Union Street, Seattle, WA 98101RIA
BD
CRD#: 877
Seattle, WA
Past
October 6, 2016 - June 14, 2019
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SEATTLE, WA
Past
May 30, 2014 - June 14, 2019
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SEATTLE, WA
Past
June 1, 2009 - June 24, 2014
MORGAN STANLEY
BD
CRD#: 149777
SEATTLE, WA
Past
February 20, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SEATTLE, WA
Past
March 19, 1999 - February 26, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
February 22, 1994 - April 1, 1999
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
January 19, 1990 - March 3, 1994
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
March 16, 1987 - February 5, 1990
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
March 17, 1983 - March 20, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
Past
August 22, 1980 - March 29, 1983
PUGET SOUND SECURITIES, INC.
BD
CRD#: 902
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".
WEDBUSH SECURITIES INC.
WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW
CRD#: 877 / SEC#: 801-6358, 8-12987
RIA
Registered Investment Advisory firm - SEC (2/27/1970 Approved)California
Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)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.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
Alaska(6/21/2019)
RR
Arizona(1/31/2022)
RR
California(6/21/2019)
RR
Colorado(10/30/2024)
RR
Florida(6/21/2019)
RR
Hawaii(6/21/2019)
RR
Idaho(7/16/2020)
RR
Michigan(10/26/2021)
RR
Minnesota(8/22/2019)
RR
Montana(6/21/2019)
RR
New Mexico(3/29/2023)
RR
New York(6/21/2019)
RR
North Carolina(9/4/2019)
RR
Oregon(6/21/2019)
RR
South Dakota(6/21/2019)
RR
Texas(6/21/2019)
RR
Virginia(8/22/2019)
RR
Washington(6/21/2019)
IAR
Washington(6/21/2019)
RR
Wyoming(1/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
WEDBUSH SECURITIES INC.
WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW
CRD#: 877 / SEC#: 801-6358, 8-12987
RIA
Registered Investment Advisory firm - SEC (2/27/1970 Approved)California
Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
225 S. Lake Ave Penthouse 225 S. Lake Ave Penthouse, Pasadena, CA 91101
Mailing Address
225 S. Lake Ave Penthouse Attn: Compliance, Pasadena, CA 91101
Phone number
(213) 688-8000
Established
California since 07/08/1966
Firm type
Corporation
Fiscal year end
June
Firm Size
Large
# of Employees
897
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEDBUSH FINANCIAL SERVICES, LLC | OWNER | |
| BILLINGS, DANIEL ERIC | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR | 4568232 |
| BLAND, GEOFFREY CONOR | DIRECTOR | 7358773 |
| DEMPSEY, FRANCIS BURKE | EXECUTIVE VICE PRESIDENT | 2428325 |
| DRUCH, ANDREW WALTER | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR | 1688071 |
| FITZSIMMONS, ROBERT GERARD | EXECUTIVE VICE PRESIDENT | 1878661 |
| FRAUNCES, KIRSTEN CAMPBELL | EXECUTIVE VICE PRESIDENT | 2933930 |
| HULTGREN, DONALD WAYNE | EXECUTIVE CHAIR, DIRECTOR | 1475369 |
| MONE, CHRISTOPHER MICHAEL | EXECUTIVE VICE PRESIDENT | 2401952 |
| PARRODE, RODRIGO NMN | EVP, CHIEF OPERATING OFFICER | 4905345 |
| PASET, ROBERT EDWARD | EXECUTIVE VICE PRESIDENT | 1055902 |
| PRESTON, ERIN KATHLEEN | CHIEF COMPLIANCE OFFICER | 5314250 |
| WEDBUSH, GARY LANCE | PRESIDENT, DIRECTOR | 2234455 |
Regulatory assets under management
| Total Number of Accounts | 10,048 |
| AUM (Assets Under Management) | $ 5,684,848,455 |
Disclosures
| Regulatory Event | 147 |
| Civil Event | 3 |
| Arbitration | 60 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 04/26/2024 | ||
| 12/21/2022 |
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.
