MG
Matthew A. Gooch
PRINCIPAL ADVISED SERVICES
CHARLOTTE, NC 28262
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CRD#: 7496074
MG
Professional summary
Matthew A Gooch, who also goes by Matthew Alan Gooch, Matthew Gooch, is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Charlotte, North Carolina and PRINCIPAL SECURITIES, INC. located in Charlotte, North Carolina.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Matthew has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matthew Alan Gooch | Matthew Gooch
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.
PRINCIPAL ADVISED SERVICES POSITION: Principal Advised Services NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/23/2024 ADDRESS: 401 McCullough Dr., Charlotte NC 28262, United States DESCRIPTION: As a Principal Advised Services IAR, I offer one-on-one investment advice to Principal retirement plan participants when eligible for a distribution at benefit event. The investment advice is a recommendation as to which of the retirement plan participant's four distribution options is in their best interest. PRINCIPAL BANK POSITION: AVP - Advice, Education & Sales NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 02/15/2022 ADDRESS: 401 McCullough Dr., Charlotte NC 28262, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew A Gooch'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
August 12, 2024 - Present
PRINCIPAL ADVISED SERVICES
Office #1: 401 Mccullough Dr Ste 200, Charlotte, NC 28262RIA
CRD#: 297324
CHARLOTTE, NC
Current
February 15, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 401 Mccullough Dr Ste 200, Charlotte, NC 28262RIA
BD
CRD#: 1137
Charlotte, NC
Past
September 8, 2023 - November 29, 2023
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
DES MOINES, IA
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".
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
CRD#: 297324 / SEC#: 801-114432
RIA
Registered Investment Advisory firm - (12/14/2018 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.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
Alabama(3/23/2022)
RR
Alaska(3/23/2022)
RR
Arizona(3/23/2022)
RR
Arkansas(3/23/2022)
RR
California(3/23/2022)
RR
Colorado(3/23/2022)
RR
Connecticut(3/23/2022)
RR
Delaware(3/23/2022)
RR
District of Columbia(3/23/2022)
RR
Florida(3/23/2022)
RR
Georgia(3/23/2022)
RR
Hawaii(3/23/2022)
RR
Idaho(3/23/2022)
RR
Illinois(3/23/2022)
RR
Indiana(3/23/2022)
RR
Iowa(3/23/2022)
IAR
Iowa(8/12/2024)
RR
Kansas(3/23/2022)
RR
Kentucky(3/23/2022)
RR
Louisiana(3/23/2022)
RR
Maine(3/23/2022)
RR
Maryland(3/23/2022)
RR
Massachusetts(3/23/2022)
RR
Michigan(3/23/2022)
RR
Minnesota(3/23/2022)
RR
Mississippi(3/23/2022)
RR
Missouri(3/23/2022)
RR
Montana(3/23/2022)
RR
Nebraska(3/23/2022)
RR
Nevada(3/23/2022)
RR
New Hampshire(3/23/2022)
RR
New Jersey(3/23/2022)
RR
New Mexico(3/23/2022)
RR
New York(3/23/2022)
RR
North Carolina(3/23/2022)
IAR
North Carolina(8/12/2024)
RR
North Dakota(3/23/2022)
RR
Ohio(3/23/2022)
RR
Oklahoma(3/23/2022)
RR
Oregon(3/23/2022)
RR
Pennsylvania(3/23/2022)
RR
Rhode Island(3/23/2022)
RR
South Carolina(3/23/2022)
RR
South Dakota(3/23/2022)
RR
Tennessee(3/23/2022)
RR
Texas(3/23/2022)
RR
Utah(3/23/2022)
RR
Vermont(3/23/2022)
RR
Virginia(3/23/2022)
RR
Washington(3/23/2022)
RR
West Virginia(3/23/2022)
RR
Wisconsin(3/23/2022)
RR
Wyoming(3/23/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/15/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
CRD#: 297324 / SEC#: 801-114432
RIA
Registered Investment Advisory firm - (12/14/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
655 9th Street, Des Moines, IA 50309
Mailing Address
711 High Street, Des Moines, IA 50392
Phone number
(866) 412-0770
Established
Firm type
Fiscal year end
# of Employees
343
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
