Unclaimed Profile

Matthew Neil Kalani Fries

CETERA INVESTMENT MANAGEMENT LLC·SCHAMBURG, Illinois

SIE, Series 4, Series 7, Series 24, Series 52TO, Series 53, Series 55, Series 57TO, Series 63, Series 99TOClean record12 years registeredCETERA INVESTMENT MANAGEMENT LLC

1450 AMERICAN LANE, SCHAMBURG, IL 60173CRD# 2723824Firm CRD# 165436

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Matthew Neil Kalani Fries · SCHAMBURG, IL

Registration

CRD #2723824 · CETERA INVESTMENT MANAGEMENT LLC · 12 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: CETERA INVESTMENT MANAGEMENT LLC

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Apr 2024 – Jan 2026

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CETERA INVESTMENT ADVISERS LLC

Jun 2023 – Jan 2026

ST CLOUD, MN

CETERA ADVISOR NETWORKS LLC

Sep 2015 – Jun 2023

ST CLOUD, MN

QUESTAR ASSET MANAGEMENT, INC.

Jan 2014 – Aug 2015

MINNEAPOLIS, MN

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 24

Series 52TO

Series 53

Series 55

Series 57TO

Series 63

Series 99TO

Registration record

First registered · January 29, 2014

Years registered · 12

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

CETERA INVESTMENT MANAGEMENT LLC

CRD 165436 · SEC 801-77403

Employees

Total firm employees

Services offered by CETERA INVESTMENT MANAGEMENT LLC

Per Form ADV

Other

View all advisors at CETERA INVESTMENT MANAGEMENT LLC →

Introduction

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Frequently Asked Questions

What services does Matthew Neil Kalani Fries offer?

Matthew Neil Kalani Fries is a registered financial advisor in SCHAMBURG, Illinois.

What are Matthew Neil Kalani Fries's credentials?

Matthew Neil Kalani Fries is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Matthew Neil Kalani Fries located?

Matthew Neil Kalani Fries is based in SCHAMBURG, Illinois, last registered with CETERA INVESTMENT MANAGEMENT LLC.

How does Matthew Neil Kalani Fries charge for services?

Matthew Neil Kalani Fries's firm is compensated through other: no compensation received. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CETERA INVESTMENT MANAGEMENT LLC?

CETERA INVESTMENT MANAGEMENT LLC has approximately 24 employees. The firm is registered with the SEC as an investment adviser.

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