MM
Matthew J. Mortillaro
REGAL INVESTMENT ADVISORS LLC
Morristown, NJ 07960
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CRD#: 7303849
MM
Professional summary
Matthew Joseph Mortillaro is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Morristown, New Jersey and REGULUS FINANCIAL GROUP, LLC located in Morristown, New Jersey.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Matthew has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE 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.
Business Name: Cornerstone Wealth Associates - Investment Related: Yes - Address: 161 Madison Ave Ste 230, Morristown, NJ - Nature of Business: Registered Rep Activities through Regulus Financial Group, LLC using a DBA name; Investment Advisory Activities through Regal Investment Advisors, LLC using a DBA name; Insurance - Title or Relationship: Insurance Agent/Registered Representative; Investment Advisor Representative - Start Date: 10/1/2024 - Hours per month: 160 - Hours per month during trading hours: 130 - Duties: Provide financial and insurance services. Business Name: Cornerstone Financial Services Group, LLC - Investment Related: Yes - Address: 161 Madison Ave Ste 230, Morristown, NJ - Nature of Business: Registered Rep Activities through Regulus Financial Group, LLC using a DBA name; Investment Advisory Activities through Regal Investment Advisors, LLC using a DBA name; Insurance - Title or Relationship: Insurance Agent/Registered Representative; Investment Advisor Representative - Start Date: 7/03/2023 - End date: 10/1/2024 - Hours per month: 160 - Hours per month during trading hours: 130 - Duties: Provide financial and insurance services.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Joseph Mortillaro'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
November 21, 2023 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: 161 Madison Ave Suite 200, Morristown, NJ 07960RIA
CRD#: 125004
Morristown, NJ
Current
November 17, 2023 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: 161 Madison Ave, Ste 230, Morristown, NJ 07960BD
CRD#: 150631
Morristown, NJ
Past
November 10, 2021 - November 10, 2023
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
Saddle Brook, NJ
Past
February 16, 2021 - November 10, 2023
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SADDLE BROOK, NJ
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".
RI
REGAL INVESTMENT ADVISORS LLC
DURAND CAPITAL PARTNERS, LLC | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | LIONSHARE
CRD#: 125004 / SEC#: 801-71923
RIA
Registered Investment Advisory firm - (10/19/2010 Approved)Alaska
Registered Investment Advisory firm - (10/21/2010 Terminated)Florida
Registered Investment Advisory firm - (10/21/2010 Terminated)Indiana
Registered Investment Advisory firm - (10/21/2010 Terminated)Michigan
Registered Investment Advisory firm - (11/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - (10/22/2010 Terminated)Nebraska
Registered Investment Advisory firm - (10/21/2010 Terminated)North Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)Ohio
Registered Investment Advisory firm - (10/21/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/22/2010 Terminated)South Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)South Dakota
Registered Investment Advisory firm - (10/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (10/21/2010 Terminated)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
New Jersey(11/17/2023)
IAR
New Jersey(11/21/2023)
RR
New York(11/17/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/15/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 2/14/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RI
REGAL INVESTMENT ADVISORS LLC
DURAND CAPITAL PARTNERS, LLC | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | LIONSHARE
CRD#: 125004 / SEC#: 801-71923
RIA
Registered Investment Advisory firm - (10/19/2010 Approved)Alaska
Registered Investment Advisory firm - (10/21/2010 Terminated)Florida
Registered Investment Advisory firm - (10/21/2010 Terminated)Indiana
Registered Investment Advisory firm - (10/21/2010 Terminated)Michigan
Registered Investment Advisory firm - (11/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - (10/22/2010 Terminated)Nebraska
Registered Investment Advisory firm - (10/21/2010 Terminated)North Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)Ohio
Registered Investment Advisory firm - (10/21/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/22/2010 Terminated)South Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)South Dakota
Registered Investment Advisory firm - (10/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (10/21/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2687 44th Street Se, Kentwood, MI 49512
Mailing Address
Phone number
(616) 224-2204
Established
Firm type
Fiscal year end
# of Employees
118
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,303 |
| AUM (Assets Under Management) | $ 2,447,941,075 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/06/2023 | ||
| 12/06/2023 | ||
| 12/06/2023 |
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.
