Matthew Catlin has been Member, Chief Compliance Officer, Chief Investment Officer of Wealth Alliance Advisory Group since November 2017, is a control person of the firm and directly owns between 25% and 50% of it. Matthew Catlin studied B.G.S. in business administration and sociology at Wichita State University.
Wealth Alliance Advisory Group, LLC is a Wichita, KS firm with $979M under management, 982 clients and 7 advisers in one office, as of its June 2026 filing.
Matthew G. Catlin is Executive Vice President and Chief Investment Officer of Wealth Alliance Advisory Group. He co-founded the firm in 2017, and his financial services career began in 1999. He served as Branch Manager and Vice President – Wealth Management at one of the world's largest global financial services firms, and later held senior management positions at two local banks in commercial and residential lending. He is a registered Investment Adviser Representative.
Matthew Catlin’s longest registration was 10 years at UBS Financial Services Inc. (2007–2017). Before joining Wealth Alliance Advisory Group in 2017, Matthew Catlin was registered through UBS Financial Services Inc.
- – present · 8 yearsWichita, KS · Adviser representative · Firm CRD 290329
- UBS Financial Services Inc.– · 10 yearsWichita, KS · Adviser representative · Firm CRD 8174
Investment adviser representative registrations
Matthew Catlin is registered as an investment adviser representative in 2 states, as a resident of Texas. Each was approved in November 2017.
- KansasSince 30 November 2017
- TexasResidentSince 30 November 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 3 March 2015 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 5 February 2015 |
| Series 66 | Uniform Combined State Law Examination | 15 August 2007 |
| Series 7 | General Securities Representative Examination | 31 July 2007 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Matthew Glen Catlin
- CRD
- 5332741
- Firm
- Wealth Alliance Advisory Group · CRD 290329
- Role
- Member, Chief Compliance Officer, Chief Investment Officer
- Office
- 10585 E 21ST N, Wichita, KS 67207
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 2007
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- wealthalliance.com
Where does Matthew Catlin work?
Matthew Catlin has been Member, Chief Compliance Officer, Chief Investment Officer of Wealth Alliance Advisory Group, LLC since November 2017, and is a control person of the firm.
Is Matthew Catlin a financial advisor?
Yes. Matthew Catlin has a current investment-adviser registration in Kansas and Texas, through Wealth Alliance Advisory Group since November 2017.
How many years of experience does Matthew Catlin have?
Matthew Catlin has 19 years in the financial industry, since July 2007, across 2 adviser firms.
What exams has Matthew Catlin passed?
Matthew Catlin has passed 4 licensing exams: the Series 7, Series 66, Series 9 and Series 10. The earliest, the Series 7, was passed in July 2007. FINRA credited Matthew Catlin with the SIE, which began in October 2018.
Where is Matthew Catlin based?
Matthew Catlin’s registered office is in Wichita, KS.
Is Matthew Catlin registered with FINRA?
Yes. Matthew Catlin has a current broker registration, under CRD 5332741.
Source: FINRA BrokerCheck
How can I verify Matthew Catlin’s record?
Search CRD 5332741 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Matthew Catlin’s full registration record.
