Michael Mathias
Michael Mathias is a CFP-designated registered investment advisor at Cetera Investment Advisers LLC, based in Mount Kisco, NY, with 40 years of industry experience. Michael operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
40 Radio Circle Drive, Suite 4, Mount Kisco, NY, 10549
Get directionsHistory
Regulatory History (21)
Financial
February 2020Customer Dispute
February 2018Customer Dispute
August 2017Customer Dispute
May 2004Customer Dispute
January 2004Customer Dispute
July 2003Customer Dispute
July 2003Customer Dispute
June 2003Customer Dispute
February 2003Customer Dispute
April 2002Customer Dispute
November 2001Customer Dispute
May 2001Customer Dispute
December 1997Customer Dispute
March 1997Customer Dispute
April 1996Customer Dispute
October 1995Customer Dispute
September 1995Customer Dispute
December 1994Customer Dispute
November 1994Customer Dispute
January 1993Customer Dispute
April 1992Other Business ActivitiesSells Insurance
Michael is the chairman of Interstate Financial Group, a dormant RIA, dedicating a few hours per week. He is also the president of Concepts in Planning and an insurance agent selling fixed insurance products, each taking minimal time.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
Summit Financial Group INC
Summit Brokerage Services, INC.Broker
Wrp Investments, INC.
Wrp Investments, INC.Broker
National Planning CorporationBroker
National Planning Corporation ("npc of America" in Fl & Ny)
Gerald S. Berger, INC.Broker
Stein Abbott and CompanyBroker
Reliastar Financial Marketing CORP.Broker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.