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Current Employers
Mathis Wealth Management

7210 N 16Th Street, Phoenix, AZ 85020 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2025-03-14
CA RA APPROVED 2025-03-05
  • AZ RA
    APPROVED
    Since 2025-03-14
  • CA RA
    APPROVED
    Since 2025-03-05

Branch Locations

Lake Forest, CA • 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
OrganizationCityStateFromTo
Mr. Cooper/Nationstar Dallas TX 05/2023 05/2024
Rushmore Loan Management Services Irvine CA 07/2017 05/2023
Griffin Optometric San Clemente CA 01/2016 07/2017
Thrivent Investment Management Inc Irvine CA 10/2024 Present
Unemployed Lake Forest CA 06/2024 09/2024
Thrivent Financial Appleton WI 11/2024 02/2025
United Planners Scottsdale AZ 02/2025 Present
Brock Redondo Showlow AZ 05/2019 Present
Brock Redondo Phoenix AZ 02/2025 Present
Mathis Wealth Management Lake Forest CA 02/2025 Present
Larry Mathis Financial Planning Llc Lake Forest CA 03/2025 Present
  • 05/2023 → 05/2024
    Mr. Cooper/Nationstar
    Dallas, TX
  • 07/2017 → 05/2023
    Rushmore Loan Management Services
    Irvine, CA
  • 01/2016 → 07/2017
    Griffin Optometric
    San Clemente, CA
  • 10/2024 → Present
    Irvine, CA
  • 06/2024 → 09/2024
    Unemployed
    Lake Forest, CA
  • 11/2024 → 02/2025
    Thrivent Financial
    Appleton, WI
  • 02/2025 → Present
    United Planners
    Scottsdale, AZ
  • 05/2019 → Present
    Brock Redondo
    Showlow, AZ
  • 02/2025 → Present
    Brock Redondo
    Phoenix, AZ
  • 02/2025 → Present
    Lake Forest, CA
  • 03/2025 → Present
    Larry Mathis Financial Planning Llc
    Lake Forest, CA
Previous Registrations
Other Businesses

1.) BROCK REDONDO - FIXED INSURANCE, LIFE AND HEALTH, DISABILITY, LONG TERM CARE - NON-VARIABLE INSURANCE - PHOENIX, AZ - SINCE 02/2025 - INVESTMENT RELATED - 20 hours per month, substantially all during market hours 2.) BROCK REDONDO - OWNER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - SHOWLOW, AZ - SINCE 05/2019 - INVESTMENT RELATED - 10 hours per month, substantially all during market hours 3.) MATHIS WEALTH MANAGEMENT - FINANCIAL ADVISOR - DBA NAME FOR MARKETING PURPOSES ONLY - LAKE FOREST, CA - SINCE 03/2025 - INVESTMENT RELATED 4.) MATHIS PUBLIC SAFETY RETIREMENT - FINANCIAL ADVISOR - DBA NAME FOR MARKETING PURPOSES ONLY - LAKE FOREST, CA - SINCE 03/2025 - INVESTMENT RELATED 5.) LARRY MATHIS FINANCIAL PLANNING LLC - FINANCIAL ADVISOR - REGISTERED INVESTMENT ADVISOR - LAKE FOREST, CA - SINCE 03/2025 - INVESTMENT RELATED

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-01-08
  • S66 Uniform Combined State Law Examination
    2025-01-08

View on SEC IAPD

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