DM
Dalton J. Matkovich
UNITED ADVISORS AMERICA
Kronenwetter, WI
Some features on this profile are disabled
CRD#: 7471492
DM
Professional summary
Dalton James Matkovich, who also goes by Dalton James Matkovich, is a registered financial advisor currently at UNITED ADVISORS AMERICA located in Kronenwetter, Wisconsin.
Dalton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Dalton has worked at 3 firms and has passed the Series 65, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dalton James Matkovich
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Dalton James Matkovich'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
April 15, 2024 - Present
UNITED ADVISORS AMERICA
RIA
CRD#: 147350
Kronenwetter, WI
Past
November 8, 2023 - January 4, 2024
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
WAUSAU, WI
Past
February 10, 2023 - May 8, 2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
Altoona, WI
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".
UA
UNITED ADVISORS AMERICA
UNITED ADVISORS AMERICA | UNITED ADVISORS CORPORATION | UNITED ADVISORS AMERICA CORPORATION
CRD#: 147350 / SEC#: 801-114134
RIA
Registered Investment Advisory firm - (10/12/2018 Approved)Arizona
Registered Investment Advisory firm - (12/31/2010 Terminated)Arkansas
Registered Investment Advisory firm - (10/29/2018 Terminated)Florida
Registered Investment Advisory firm - (8/23/2015 Terminated)Georgia
Registered Investment Advisory firm - (10/29/2018 Terminated)Illinois
Registered Investment Advisory firm - (10/17/2018 Terminated)Indiana
Registered Investment Advisory firm - (6/20/2011 Terminated)Iowa
Registered Investment Advisory firm - (11/1/2018 Terminated)Kansas
Registered Investment Advisory firm - (10/29/2018 Terminated)Kentucky
Registered Investment Advisory firm - (10/29/2018 Terminated)Michigan
Registered Investment Advisory firm - (10/30/2018 Terminated)Missouri
Registered Investment Advisory firm - (10/29/2018 Terminated)North Carolina
Registered Investment Advisory firm - (10/30/2018 Terminated)Ohio
Registered Investment Advisory firm - (10/30/2018 Terminated)Oklahoma
Registered Investment Advisory firm - (10/29/2018 Terminated)Oregon
Registered Investment Advisory firm - (2/27/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/30/2018 Terminated)Tennessee
Registered Investment Advisory firm - (11/1/2018 Terminated)Texas
Registered Investment Advisory firm - (10/29/2018 Terminated)Virginia
Registered Investment Advisory firm - (10/30/2018 Terminated)Washington
Registered Investment Advisory firm - (1/28/2015 Terminated)Wisconsin
Registered Investment Advisory firm - (10/29/2018 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.Highlighted states indicate IAR registrations
IAR
Wisconsin(4/15/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 2/10/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Current Firm
UA
UNITED ADVISORS AMERICA
UNITED ADVISORS AMERICA | UNITED ADVISORS CORPORATION | UNITED ADVISORS AMERICA CORPORATION
CRD#: 147350 / SEC#: 801-114134
RIA
Registered Investment Advisory firm - (10/12/2018 Approved)Arizona
Registered Investment Advisory firm - (12/31/2010 Terminated)Arkansas
Registered Investment Advisory firm - (10/29/2018 Terminated)Florida
Registered Investment Advisory firm - (8/23/2015 Terminated)Georgia
Registered Investment Advisory firm - (10/29/2018 Terminated)Illinois
Registered Investment Advisory firm - (10/17/2018 Terminated)Indiana
Registered Investment Advisory firm - (6/20/2011 Terminated)Iowa
Registered Investment Advisory firm - (11/1/2018 Terminated)Kansas
Registered Investment Advisory firm - (10/29/2018 Terminated)Kentucky
Registered Investment Advisory firm - (10/29/2018 Terminated)Michigan
Registered Investment Advisory firm - (10/30/2018 Terminated)Missouri
Registered Investment Advisory firm - (10/29/2018 Terminated)North Carolina
Registered Investment Advisory firm - (10/30/2018 Terminated)Ohio
Registered Investment Advisory firm - (10/30/2018 Terminated)Oklahoma
Registered Investment Advisory firm - (10/29/2018 Terminated)Oregon
Registered Investment Advisory firm - (2/27/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/30/2018 Terminated)Tennessee
Registered Investment Advisory firm - (11/1/2018 Terminated)Texas
Registered Investment Advisory firm - (10/29/2018 Terminated)Virginia
Registered Investment Advisory firm - (10/30/2018 Terminated)Washington
Registered Investment Advisory firm - (1/28/2015 Terminated)Wisconsin
Registered Investment Advisory firm - (10/29/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
290 S Preston Road Suite 220, Prosper, TX 75078
Mailing Address
Phone number
(877) 443-0610
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (27 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,625 |
| AUM (Assets Under Management) | $ 353,695,420 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
