Shelly L Mathis

Current Employers

Employment History

• 05/2004 → 11/2020
  Kms Financial Services, Inc
  Seattle, WA
• 01/2002 → Present
  Terry W. Greer, Inc
  Stanwood, WA
• 11/2020 → 06/2024
  Securities America, Inc.
  Stanwood, WA
• 11/2020 → 06/2024
  Securities America Advisors, Inc.
  Stanwood, WA
• 06/2024 → Present
  Osaic Wealth, Inc.
  Stanwood, WA

Previous Registrations

• 2020-11-06 → 2024-06-14
  Securities America Advisors, Inc.
  Stanwood, WA
  Camano Island, WA
  Stanwood, WA
• 2004-08-09 → 2020-11-06
  Kms Financial Services, Inc.
  Stanwood, WA
  Stanwood, WA
  Seattle, WA

Other Businesses

1. SHELLY L. MATHIS FINANCIAL ADVISOR POSITION: Advisor/Owner NATURE: Advisory Affiliation with SAA INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: PO Box 489, Suite 106, Stanwood WA 98292 DESCRIPTION: I do not currently have any advisory clients but am keeping my license and affiliation to keep that option open. 2. SLM FINANCIAL SERVICES, PLLC POSITION: Owner/Shareholder NATURE: Securities and investment advisory services offered through Osaic Wealth, Inc. member FINRA/SIPC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/01/2023 ADDRESS: 10111 271ST ST NW STE 1, PO Box 489, STANWOOD WA 98292, United States DESCRIPTION: Retirement planning for both accumulation and distribution utilizing ROTH/IRAs, small business retirement plans, variable annuities, A-share mutual funds, Next Phase, and WMP 3. SLM FINANCIAL SERVICES POSITION: Owner NATURE: Prepare individual tax returns for select investment and non-investment clients. Conduct Notary services as a complimentary service to known clients only at no charge. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 02/01/2023 ADDRESS: 10111 271ST ST NW STE 1, PO Box 489, Stanwood WA 98292, United States DESCRIPTION: Prepare individual tax returns for approximately 100 clients. Some clients are investment clients, and a few are long time clients from previous CPA firm. Conduct Notary services as a complimentary service to known clients only at no charge.

Exams

• S66 Uniform Combined State Law Examination
  2004-08-06