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Matthew Clark Phillips

Cetera Investment Advisers LLC

Pasadena, CA

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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-04-14
CA RA APPROVED 2021-02-02
  • TX RA
    APPROVED_RES
    Since 2021-04-14
  • CA RA
    APPROVED
    Since 2021-02-02

Branch Locations

155 North Lake Avenue Suite 430, Pasadena, CA 91101 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Trilogy Financial Services Inc Corona CA 10/2014 01/2021
National Planning Corporation Corona CA 11/2014 11/2017
Trilogy Capital Corona CA 06/2016 01/2021
Cetera Investment Services Llc St. Cloud MN 02/2021 Present
Cetera Investment Advisers Llc Monrovia CA 02/2021 Present
  • 10/2014 → 01/2021
    Trilogy Financial Services Inc
    Corona, CA
  • 11/2014 → 11/2017
    National Planning Corporation
    Corona, CA
  • 06/2016 → 01/2021
    Trilogy Capital
    Corona, CA
  • 02/2021 → Present
    Cetera Investment Services Llc
    St. Cloud, MN
  • 02/2021 → Present
    Cetera Investment Advisers Llc
    Monrovia, CA
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2021-02-13
S65 Uniform Investment Adviser Law Examination 2016-05-23
  • S63 Uniform Securities Agent State Law Examination
    2021-02-13
  • S65 Uniform Investment Adviser Law Examination
    2016-05-23
Other Names
  • Mathew Phillips
  • Mathew Clark Phillips

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
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WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
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