Matthew Mullaly has been an investment adviser representative at Alteri Wealth since May 2024, and is not listed among the firm’s executive officers or direct owners.
Alteri Wealth LLC is a Westlake Village, CA firm with $566M under management, 350 clients and 3 advisers in one office, as of its June 2026 filing.
Matthew Mullaly’s longest registration was 29 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (1994–2024). Before joining Alteri Wealth in 2024, Matthew Mullaly was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated.
- Alteri WealthCurrent– present · 2 yearsWestlake Village, CA · Adviser representative · Firm CRD 331100
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 29 yearsWestlake Village, CA · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Matthew Mullaly is registered as an investment adviser representative in California, since May 2024.
- CaliforniaSince 28 May 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 10 | General Securities Sales Supervisor - General Module Examination | 2 January 2023 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 19 January 2005 |
| Series 65 | Uniform Investment Adviser Law Examination | 28 November 1995 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 5 December 1989 |
| Series 63 | Uniform Securities Agent State Law Examination | 14 September 1983 |
| Series 7 | General Securities Representative Examination | 20 August 1983 |
| Series 1 | Registered Representative Examination | 16 May 1980 |
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Registered Representative Examination
- Full name
- Matthew C Mullaly
- CRD
- 709660
- Firm
- Alteri Wealth · CRD 331100
- Office
- 4195 EAST THOUSAND OAKS BLVD., SUITE 250, Westlake Village, CA 91362
- Registration
- Investment adviser and broker registrations
- In the industry since
- December 1981
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Matthew Mullaly work?
Matthew Mullaly is an investment adviser representative registered through Alteri Wealth LLC since May 2024, and is not listed among the firm’s executive officers or direct owners.
Is Matthew Mullaly a financial advisor?
Yes. Matthew Mullaly has a current investment-adviser registration in California, through Alteri Wealth since May 2024.
How many years of experience does Matthew Mullaly have?
Matthew Mullaly has 44 years in the financial industry, since December 1981, across 2 adviser firms.
What exams has Matthew Mullaly passed?
Matthew Mullaly has passed 8 licensing exams: the Series 1, Series 7, Series 63, Series 8, Series 65, Series 31, Series 10 and Series 9. The earliest, the Series 1, was passed in May 1980. FINRA credited Matthew Mullaly with the SIE, which began in October 2018.
Where did Matthew Mullaly work before Alteri Wealth?
Before Alteri Wealth, Matthew Mullaly was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated, October 1994 to May 2024.
Where is Matthew Mullaly based?
Matthew Mullaly’s registered office is in Westlake Village, CA.
Is Matthew Mullaly registered with FINRA?
Yes. Matthew Mullaly has a current broker registration, under CRD 709660.
Source: FINRA BrokerCheck
How can I verify Matthew Mullaly’s record?
Search CRD 709660 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Matthew Mullaly’s full registration record.
- Veronica HoyChief Operating Officer
- Roseann HigginsChief Compliance Officer
- Michelle GruberFounding Member and Manager
- Alex MarkowitzFounding Member and Manager