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MATTHEW LEE ADAMS
MATT L ADAMS, MATT LEE ADAMS MR., MATT LEE ADAMS, MATT ADAMS, MATTHEW LEE ADAMS MR.
CRD#: 5598677
IA
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MAI CAPITAL MANAGEMENT, LLCCRD#: 109807 917 Mendocino Ave
Santa Rosa, CA 95401
Santa Rosa, CA 95401
0
Disclosures
16
Years of Experience
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State Registrations
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California 1/30/2024
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Registered with this firm since 1/30/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/09/2018 - 01/30/2024 | Santa Rosa, CA | |
IA | 10/25/2013 - 05/21/2018 | SANTA ROSA, CA | |
B | 10/25/2013 - 05/21/2018 | SANTA ROSA, CA | |
IA | 08/10/2010 - 11/01/2013 | SANTA ROSA, CA | |
B | 08/09/2010 - 11/01/2013 | SANTA ROSA, CA | |
IA | 06/15/2010 - 08/11/2010 | SANTA ROSA, CA | |
B | 05/02/2009 - 08/11/2010 | SANTA ROSA, CA | |
B | 10/29/2008 - 05/02/2009 | SANTA ROSA, CA |
Santa Rosa, CA
04/09/2018 - 01/30/2024
SANTA ROSA, CA
08/10/2010 - 11/01/2013
SANTA ROSA, CA
08/09/2010 - 11/01/2013
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.