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CFP

Robert Mathias

Cetera Investment Advisers LLC
34 Years of Experience
Mount Kisco, NY
BrokerSells Insurance
View SEC Summary
View SEC Summary

Robert Mathias is a CFP-designated registered investment advisor at Cetera Investment Advisers LLC, based in Mount Kisco, NY, with 34 years of industry experience. Robert is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

40 Radio Circle Drive, Suite 4, Mount Kisco, NY, 10549

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Robert is an insurance agent for Concepts in Planning since 2011, spending a few hours per week on insurance sales. He is also the president of a dormant RIA, Interstate Financial Group, but dedicates no time to it.

Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 3 yrs 4 mos
Cetera Wealth Services, LLCBroker
September 2019 - Present · 7 yrs 1 mo
Previous Registrations
Cetera Advisor Networks LLC
May 2021 - June 2023 · 2 yrs 1 mo
Summit Financial Group INC
July 2005 - May 2021 · 15 yrs 10 mos
Summit Brokerage Services, INC.Broker
June 2005 - September 2019 · 14 yrs 3 mos
Wrp Investments, INC.
January 2005 - June 2005 · 5 mos
Wrp Investments, INC.Broker
December 2004 - June 2005 · 6 mos
National Planning Corporation ("npc of America" in Fl & Ny)
June 2000 - December 2004 · 4 yrs 6 mos
National Planning CorporationBroker
June 2000 - December 2004 · 4 yrs 6 mos
Gerald S. Berger, INC.Broker
March 1996 - June 2000 · 4 yrs 3 mos
1717 Capital Management CompanyBroker
July 1995 - July 1996 · 1 yr
Gerald S. Berger, INC.Broker
April 1995 - August 1995 · 4 mos
American Express Financial Advisors INC.Broker
January 1992 - April 1995 · 3 yrs 3 mos
Ids Life Insurance CompanyBroker
January 1992 - April 1995 · 3 yrs 3 mos
State Registrations21 states
ALCACTDEFLILINMAMDMENCNJNVNYPASCTXUTVAVTWA
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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