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Matthew Fries

Vice President at Cetera Investment Advisers

Broker registration; no current adviser registrationSEC record checked 17 October 2026

5
Past adviser firms
10
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Matthew Fries is Vice President of Cetera Investment Advisers LLC, a Schaumburg investment adviser managing $257B. Matthew Fries has a current broker registration and no current investment-adviser registration and has passed 10 licensing exams.

Role at Cetera Investment Advisers

Title on Schedule A
Vice President
Control
Matthew Fries is not a control person of Cetera Investment Advisers.
Ownership
An individual ownership band is not available in the source record.
Tenure
Matthew Fries has held the filed role since August 2024.

The firm

Cetera Investment Advisers LLC
Schaumburg, IL

Form ADV filed 13 August 2026

$257B AUM813,961 clients9,049 advisers28 offices

Career on record

Firms and exams, newest first
  1. Avantax Planning Partners, Inc.
    – · 2 years
    St Cloud, MN · Adviser representative · Firm CRD 106237
  2. Avantax Advisory Services
    – · 1 year
    St Cloud, MN · Adviser representative · Firm CRD 104556
  3. Cetera Investment Advisers LLC
    – · 3 years
    St Cloud, MN · Adviser representative · Firm CRD 105644
  4. Passed Series 57TO, Series 99TO and Series 52TO · 2023
  5. Passed SIE · 2018
  6. Cetera Advisor Networks LLC
    – · 8 years
    St Cloud, MN · Adviser representative · Firm CRD 13572
  7. Questar Asset Management, Inc.
    – · 2 years
    Minneapolis, MN · Adviser representative · Firm CRD 133358
  8. Passed Series 24, Series 53 and Series 4 · 2001
  9. Passed Series 55 · 1999
  10. Passed Series 7 and Series 63 · 1998

Registrations and exams

Broker registration; no current adviser registration. Matthew Fries has passed 10 qualifying exams.

Examinations

Series 639 November 1998
Name
Uniform Securities Agent State Law Examination
Series 43 July 2001
Name
Registered Options Principal Examination
Series 538 June 2001
Name
Municipal Securities Principal Examination
Series 2417 May 2001
Name
General Securities Principal Examination
Series 57TO2 January 2023
Name
Securities Trader Exam
Series 99TO2 January 2023
Name
Operations Professional Examination
Series 52TO2 January 2023
Name
Municipal Securities Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 557 September 1999
Name
Limited Representative-Equity Trader Exam
Series 730 September 1998
Name
General Securities Representative Examination

Individual record

Full name
Matthew Neil Kalani Fries
CRD
2723824
Firm
Cetera Investment Advisers LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Matthew Fries work?

Matthew Fries has been Vice President of Cetera Investment Advisers LLC since August 2024.

Source: Form ADV, Schedule A, filed 13 August 2026

Does Matthew Fries have a current investment-adviser registration?

Matthew Fries has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Matthew Fries passed?

Matthew Fries has passed 10 licensing exams: the Series 7, Series 63, Series 55, Series 24, Series 53, Series 4, SIE, Series 57TO, Series 99TO and Series 52TO. The earliest, the Series 7, was passed in September 1998.

Source: IAPD individual record, checked 17 October 2026

Where was Matthew Fries previously registered as an investment adviser?

Matthew Fries has past investment-adviser registrations through Avantax Planning Partners, Inc., April 2024 to January 2026; Avantax Advisory Services, April 2024 to September 2025; Cetera Investment Advisers LLC, June 2023 to January 2026; Cetera Advisor Networks LLC, September 2015 to June 2023; Questar Asset Management, Inc., January 2014 to August 2015, across 5 firms.

Source: IAPD individual record, checked 17 October 2026

Leadership at Cetera Investment Advisers

Sources

  1. IAPD individual record, CRD 2723824. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Cetera Investment Advisers LLC, filed 13 August 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Matthew Fries or Cetera Investment Advisers LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.