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7210 N 16Th Street, Phoenix, AZ 85020 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2025-03-14 |
| CA | RA | APPROVED | 2025-03-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-01-08 |
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