Shawn William Mathis

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
OR	RA	APPROVED	2025-10-22
OH	RA	APPROVED	2023-06-29
WA	RA	APPROVED	2023-06-29

OR RA
APPROVED

Since 2025-10-22
OH RA
APPROVED

Since 2023-06-29
WA RA
APPROVED

Since 2023-06-29

Branch Locations

Estacada, OR • United States

9200 South Hills Blvd Ste 310, Broadview Heights, OH 44147 • United States

Financial Management Strategies, Inc.

9200 South Hills Blvd. Suite 310, Broadview Hts., OH 44147 • United States

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2018-10-16

OH RA
APPROVED

Since 2018-10-16

Branch Locations

Vancouver, WA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Columbus	OH	10/2009	10/2018
Ameriprise Financial Services, Inc.	Dublin	OH	10/2009	10/2018
Financial Management Strategies, Inc.	Valley View	OH	10/2018	Present
Cetera Wealth Services, Llc	El Segundo	CA	10/2018	Present
Cetera Investment Advisers Llc	Schaumburg	IL	06/2023	Present

10/2009 → 10/2018

Ameriprise Financial Services, Inc.

Columbus, OH
10/2009 → 10/2018

Ameriprise Financial Services, Inc.

Dublin, OH
10/2018 → Present

Financial Management Strategies, Inc.

Valley View, OH
10/2018 → Present

Cetera Wealth Services, Llc

El Segundo, CA
06/2023 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2009-10-05 → 2018-10-17

Ameriprise Financial Services, Llc

Dublin, OH
2007-08-20 → 2009-10-05

Ameriprise Advisor Services, Inc.

Columbus, OH
2001-02-20 → 2007-08-22

Citigroup Global Markets Inc.

Columbus, OH

Columbus, OH

Other Businesses

1.NAME OF OTHER BUSINESS: FINANCIAL MANAGEMENT STRATEGIES, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE: 10/2018 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISORY REPRESENTATIVE 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 10/2018 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2001-01-05
S65	Uniform Investment Adviser Law Examination	2001-01-03

S63 Uniform Securities Agent State Law Examination

2001-01-05
S65 Uniform Investment Adviser Law Examination

2001-01-03

View on SEC IAPD