Mathias Joseph Rick

Employer firm

Mml Investors Services, LLC CRD 10409

$116B regulatory AUM

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2014 → 03/2017
  Metlife Securities
  Charlotte, NC
• 03/2017 → Present
  Mml Investors Services, Llc
  Matthews, NC
• 07/2016 → Present
  Mass Mutual Life Insurance Co
  Matthews, NC

Previous Registrations

• 2014-10-03 → 2017-03-25
  Msi Financial Services, Inc.
  Charlotte, NC
• 2014-03-07 → 2014-09-26
  Foresters Advisory Services, Llc
  Charlotte, NC

Other Businesses

(1) Independent insurance agent - from business address - 1 sec hour 0 non sec hours - selling Property & Casualty - since 7/2016 (2) Independent insurance agent - from business address - 1 sec hour 1 non sec hours - selling Medicare related products - since 7/2016 (3) Name: Charlotte St. Patricks' Day Committee, Inv Rel: Y, Addr: P.O Box 470092 Charlotte NC 28247 Nature: Annual Charlotte St. Patrick's Day Parade, Position: Treasurer/Board Services, Start Date: 07/01/2024, No Hrs/Mo: 30, No Hrs/Mo During Sec Trading: 0, Duties: We work with the City of Charlotte to coordinate the parade and Festival. I help in overseeing the parade participants and help with staging of the parade. As Treasurer I make deposits and pay bills. (4) Name: Encompass Financial LLC Inv Rel: Y Add: 624 Matthews-Mint Hill Rd. Ste 108 Matthews NC 28105 Nature/Duties: Owner of LLC used for business purposes Position: Owner Start Date: 01/22/2025 No. Hr/Mo: 0 No. Hr/Mo During Sec Trading: 0

Exams

• S63 Uniform Securities Agent State Law Examination
  1982-07-20

Designations

• Chartered Financial Consultant

Other Names

• Matt Rick