Michael David Mathias

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:

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

Current Employers

Employment History

• 09/1980 → Present
  Planning Concepts Corp
  Mt Kisco, NY
• 01/1985 → Present
  Interstate Financial
  Mt Kisco, NY
• 06/2005 → 09/2019
  Summit Brokerage Services Inc
  Mt Kisco, NY
• 06/2005 → 11/2019
  Summit Financial Group Inc
  Mt Kisco, NY
• 09/2019 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2005-07-01 → 2019-01-17
  Summit Financial Group Inc
  Mt Kisco, NY
• 2005-01-05 → 2005-06-30
  Wrp Investments, Inc.
  Hartsdale , NY
• 2000-06-06 → 2004-12-31
  National Planning Corporation
  Hartsdale, NY

Other Businesses

(1) NAME OF OTHER BUSINESS: INTERSTATE FINANCIAL GROUP ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: INSURANCE / FINANCIAL PLANNING ; START DATE: 12/1988 ; POSITION/TITLE/RELATIONSHIP: CHAIRMAN ; APX NUMBER OF HOURS PER WEEK: 12 ; APX NUMBER OF HOURS DURING TRADING HOURS: 12 ; BRIEF DESCRIPTION OF DUTIES: DORMANT RIA ; (2) NAME OF OTHER BUSINESS: CONCEPTS IN PLANNING ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: INSURANCE SALES ; START DATE: 03/2011 ; POSITION/TITLE/RELATIONSHIP: PRESIDENT ; APX NUMBER OF HOURS PER WEEK: 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2 ; BRIEF DESCRIPTION OF DUTIES: INSURANCE SALES ; (3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED INSURANCE ; START DATE: 01/2020 ; APX NUMBER OF HOURS PER WEEK: 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE ;

Exams

• S66 Uniform Combined State Law Examination
  2021-10-08
• S63 Uniform Securities Agent State Law Examination
  1985-08-21

Designations

• Certified Financial Planner