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Detailed Report
MATTHEW STUART PHILLIPS
Matt Phillips
CRD#: 5299441
IA
Investment Adviser
B
Broker
K2 FINANCIAL INC.CRD#: 300913 233 SOUTH GLENDORA AVENUE
GLENDORA, CA 91741
LINCOLN INVESTMENTCRD#: 519 233 S. Glendora Ave.
Glendora, CA 91741
Registration History
201620172018201920202021202220232024202520262 FIRMS2016 - 2017 (1 year)2 FIRMS2017 - Present (7 years)IAK2 FINANCIAL INC. (CRD# 300913)2019 - Present (5 years)IALEGEND ADVISORY, LLC (CRD# 104761)2017 - 2019 (2 years)
License(s)

State Registrations

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California 9/25/2017
B
New York 1/4/2019
IA
California 9/25/2017
B
Oregon 11/27/2020
B
Colorado 7/21/2020
B
Pennsylvania 1/4/2019
B
Idaho 2/12/2021
B
Texas 1/4/2019
B
Kentucky 7/21/2020
IA
Texas 12/4/2020
B
Missouri 1/4/2019
IA
Texas 11/10/2023
B
New Mexico 5/21/2019
B
Washington 8/7/2018

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
K2 FINANCIAL INC. (CRD#:300913)
233 SOUTH GLENDORA AVENUE, GLENDORA, CA 91741
La Habra, CA
Registered with this firm since 5/30/2019
IA
LINCOLN INVESTMENT (CRD#:519)
233 S. Glendora Ave., Glendora, CA 91741
Registered with this firm since 9/25/2017
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LINCOLN INVESTMENT (CRD#:519)
233 S. Glendora Ave., Glendora, CA 91741
Registered with this firm since 9/25/2017
Previous Registration(s)
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 09/25/2017 - 10/04/2019 LEGEND ADVISORY, LLC (CRD#:104761) San Dimas, CA
IA
 06/08/2016 - 09/28/2017 WADDELL & REED (CRD#:866) RIVERSIDE, CA
B
 04/26/2016 - 09/28/2017 WADDELL & REED (CRD#:866) RIVERSIDE, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.