Matthew Tarini has been an investment adviser representative at Focused Alpha since October 2024, and is not listed among the firm’s executive officers or direct owners.
Focused Alpha, LLC is a Greenwood Village, CO firm with $664M under management, 553 clients and 5 advisers across 6 offices, as of its September 2026 filing.
Matthew Tarini’s longest registration was 11 years at Wells Fargo Advisors Financial Network, LLC (2009–2021). Before joining Focused Alpha in 2024, Matthew Tarini was registered through Nations Financial Group, Inc. and Wells Fargo Advisors Financial Network, LLC.
- Nations Financial Group, Inc.– · 3 yearsPhoenix, AZ · Adviser representative · Firm CRD 44181
- Wells Fargo Advisors Financial Network, LLC– · 11 yearsPhoenix, AZ · Adviser representative · Firm CRD 11025
- Wells Fargo Advisors, LLC– · under a yearTempe, AZ · Adviser representative · Firm CRD 19616
- Linsco/Private Ledger Corp.– · under a yearChandler, AZ · Adviser representative · Firm CRD 6413
- Salomon Smith Barney Inc.– · 5 yearsTempe, AZ · Adviser representative · Firm CRD 7059
Investment adviser representative registrations
Matthew Tarini is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from October 2024; the most recent is Texas, in April 2026.
- ArizonaSince 30 October 2024
- TexasResidentSince 6 April 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 5 March 2009 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 21 January 2009 |
| Series 66 | Uniform Combined State Law Examination | 6 May 2008 |
| Series 31 | Futures Managed Funds Examination | 20 March 2004 |
| Series 65 | Uniform Investment Adviser Law Examination | 12 October 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 27 June 1995 |
| Series 7 | General Securities Representative Examination | 21 June 1995 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- Uniform Combined State Law Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Matthew Arthur Tarini
- CRD
- 2566773
- Firm
- Focused Alpha · CRD 310591
- Office
- 2390 E Camelba30ck Road, Suite 130, Phoenix, AZ 85016
- Registration
- Investment adviser registration
- In the industry since
- July 1995
- Disciplinary history
- Not yet shown here · SEC record
Where does Matthew Tarini work?
Matthew Tarini is an investment adviser representative registered through Focused Alpha, LLC since October 2024, and is not listed among the firm’s executive officers or direct owners.
Is Matthew Tarini a financial advisor?
Yes. Matthew Tarini has a current investment-adviser registration in Arizona and Texas, through Focused Alpha since October 2024.
How many years of experience does Matthew Tarini have?
Matthew Tarini has 31 years in the financial industry, since July 1995, across 6 adviser firms.
What exams has Matthew Tarini passed?
Matthew Tarini has passed 7 licensing exams: the Series 7, Series 63, Series 65, Series 31, Series 66, Series 10 and Series 9. The earliest, the Series 7, was passed in June 1995. FINRA credited Matthew Tarini with the SIE, which began in October 2018.
Where did Matthew Tarini work before Focused Alpha?
Before Focused Alpha, Matthew Tarini was registered through Nations Financial Group, Inc., February 2021 to October 2024; Wells Fargo Advisors Financial Network, LLC, July 2009 to February 2021; Wells Fargo Advisors, LLC, November 2008 to July 2009; Linsco/Private Ledger Corp., September 2003 to September 2003; Salomon Smith Barney Inc., July 1997 to September 2002.
Where is Matthew Tarini based?
Matthew Tarini’s registered office is in Phoenix, AZ.
Is Matthew Tarini registered with FINRA?
No. Matthew Tarini has no current broker registration.
How can I verify Matthew Tarini’s record?
Search CRD 2566773 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Matthew Tarini’s full registration record.
- Gery SadzewiczChief Compliance Officer
- Daniel BarotzManaging Member