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MW

Matthew R. Wallis

Some features on this profile are disabled
CRD#: 7307345
MW

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Matthew Richard Wallis was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 2020. Matthew had worked at 3 firms and has passed the Series 65, Series 63, Series 52TO, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
RESIDENTIAL RENTAL PROPERTY; NOT INVESTMENT RELATED; 3573 GALLOWAY AVE, MEMPHIS TN 38122; NATURE OF OTHER BUSINESS: RESIDENTIAL RENTAL PROPERTY; POSITION: OWNER; START DATE: 5/1/23; 2 HRS/MONTH DEVOTED TO OTHER BUSINESS; 0 HRS DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS; DUTIES: LANDLORD

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 8, 2024 - May 5, 2025

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 104599
LOS ANGELES, CA
Past

May 18, 2023 - May 5, 2025

VP DISTRIBUTORS LLC

BD
CRD#: 3036
LOS ANGELES, CA
Past

November 17, 2020 - April 26, 2023

FHN FINANCIAL SECURITIES CORP.

BD
CRD#: 46346
MEMPHIS, TN

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".
KA
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC
KAYNE ANDERSON INVESTMENT MANAGEMENT LLC | KAYNE ANDERSON RUDNICK WEALTH ADVISORS | KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

CRD#: 104599 / SEC#: 801-24241

RIA
Registered Investment Advisory firm - (5/22/1985 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/8/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/6/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 12/15/2020
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/17/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/12/2020
Securities Industry Essentials Examination

Current Firm

KA
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC
KAYNE ANDERSON INVESTMENT MANAGEMENT LLC | KAYNE ANDERSON RUDNICK WEALTH ADVISORS | KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

CRD#: 104599 / SEC#: 801-24241

RIA
Registered Investment Advisory firm - (5/22/1985 Approved)
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Contact information

Main Address
2000 Avenue Of The Stars Suite 1110, Los Angeles, CA 90067
Mailing Address
Phone number
(310) 556-2721
Established
Firm type
Fiscal year end
# of Employees
119

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KAR ADV PART 2A 3/26/2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts27,435
AUM (Assets Under Management)$ 45,493,862,358

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.

Company Information

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

CRD#: 104599

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