NivaLet’s talk

Matthew Bregozzo

Chief Compliance Officer at Avantax Planning Partners in San Diego, CA

Investment adviser and broker registrationsUpdated

Matthew Bregozzo is Chief Compliance Officer of Avantax Planning Partners, Inc., an investment adviser managing $7.57B, and works from its San Diego, CA office. Matthew Bregozzo has been registered as an investment adviser representative through Avantax Planning Partners since 17 April 2024, has 15 years in the industry across 7 firms and has passed 7 licensing exams.

15
Years in industry
2
Years at firm
7
Adviser firms
1
States registered

From the IAPD record, checked 21 October 2026SEC record

Career

Matthew Bregozzo has been Chief Compliance Officer of Avantax Planning Partners since April 2024, is a control person of the firm and directly owns under 5% of it.

Avantax Planning Partners, Inc. is a Dubuque, IA firm with $7.57B under management, 8,370 clients and 200 advisers across 170 offices, as of its June 2026 filing.

Matthew Bregozzo’s longest registration is the current one, 10 years at Cetera Investment Management LLC since 2015. Before joining Avantax Planning Partners in 2024, Matthew Bregozzo was registered through First Allied Advisory Services, Inc. and First Allied Securities, Inc.

  1. Cetera Planning PartnersAlso current
    – present · under a year
    Adviser representative · Firm CRD 129625
  2. Avantax Planning Partners, Inc.Current
    – present · 2 years
    San Diego, CA · Adviser representative · Firm CRD 106237
  3. Avantax Advisory Services
    – · 1 year
    San Diego, CA · Adviser representative · Firm CRD 104556
  4. Cetera Investment Advisers LLCAlso current
    – present · 5 years
    Adviser representative · Firm CRD 105644
  5. Cetera Investment Management LLCAlso current
    – present · 10 years
    Adviser representative · Firm CRD 165436
  6. First Allied Advisory Services, Inc.
    – · 8 years
    San Diego, CA · Adviser representative · Firm CRD 137888
  7. First Allied Securities, Inc.
    – · under a year
    San Diego, CA · Adviser representative · Firm CRD 32444

Credentials and registrations

Investment adviser representative registrations

Matthew Bregozzo is registered as an investment adviser representative in California, since November 2015.

  • CaliforniaSince 6 November 2015

Examinations

Series 52TO17 April 2024
Name
Municipal Securities Representative Examination
Series 142 January 2023
Name
Compliance Officer Examination
SIECredited
Name
Securities Industry Essentials Examination
Series 5323 May 2013
Name
Municipal Securities Principal Examination
Series 413 August 2012
Name
Registered Options Principal Examination
Series 2419 December 2011
Name
General Securities Principal Examination
Series 6624 October 2011
Name
Uniform Combined State Law Examination
Series 715 August 2011
Name
General Securities Representative Examination

Key facts

Full name
Matthew Gregory Bregozzo
CRD
5881295
Firm
Avantax Planning Partners · CRD 106237
Role
Chief Compliance Officer
Office
655 W BROADWAY 12TH FL, San Diego, CA 92101
Registration
Investment adviser and broker registrations
In the industry since
August 2011
Disciplinary history
Not yet shown here · SEC record · BrokerCheck

Common questions

Where does Matthew Bregozzo work?

Matthew Bregozzo has been Chief Compliance Officer of Avantax Planning Partners, Inc. since April 2024, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 18 June 2026

Is Matthew Bregozzo a financial advisor?

Yes. Matthew Bregozzo has a current investment-adviser registration in California, through Avantax Planning Partners since April 2024.

Source: IAPD individual record, checked 21 October 2026

How many years of experience does Matthew Bregozzo have?

Matthew Bregozzo has 15 years in the financial industry, since August 2011, across 7 adviser firms.

Source: IAPD individual record, checked 21 October 2026

What exams has Matthew Bregozzo passed?

Matthew Bregozzo has passed 7 licensing exams: the Series 7, Series 66, Series 24, Series 4, Series 53, Series 14 and Series 52TO. The earliest, the Series 7, was passed in August 2011. FINRA credited Matthew Bregozzo with the SIE, which began in October 2018.

Source: IAPD individual record, checked 21 October 2026

Where did Matthew Bregozzo work before Avantax Planning Partners?

Before Avantax Planning Partners, Matthew Bregozzo was registered through First Allied Advisory Services, Inc., July 2012 to November 2020; First Allied Securities, Inc., January 2012 to July 2012.

Source: IAPD individual record, checked 21 October 2026

Where is Matthew Bregozzo based?

Matthew Bregozzo’s registered office is in San Diego, CA.

Source: IAPD individual record, checked 21 October 2026

Is Matthew Bregozzo registered with FINRA?

Yes. Matthew Bregozzo has a current broker registration, under CRD 5881295.

Source: FINRA BrokerCheck

How can I verify Matthew Bregozzo’s record?

Search CRD 5881295 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Matthew Bregozzo’s full registration record.

Source: IAPD individual record, checked 21 October 2026

Leadership at Avantax Planning Partners

Sources

  1. IAPD individual record, CRD 5881295, checked 21 October 2026. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Avantax Planning Partners, Inc., filed 18 June 2026. Title, control and ownership bands.
Report a correction