Alex Mathis
Alex Mathis is a registered investment advisor at LPL Financial LLC, based in Westlake Village, CA, with 27 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
2555 Townsgate Rd Ste 300, Ste. 300, Westlake Village, CA, 91361
Get directionsHistory
Regulatory History (5)
Customer Dispute
June 2023Customer Dispute
May 2022Customer Dispute
May 2018Customer Dispute
December 2009Customer Dispute
June 2009Other Business ActivitiesSells Insurance
Alex is an agent for accident and health, life, and variable insurance. He also operates Mathis Wealth Management as a DBA for his securities business.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Western International Securities, INC.Broker
Western International Securities
LPL Financial LLC
LPL Financial LLCBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Interfirst Capital CorporationBroker
San Clemente Financial Group Securities, INC.Broker
Aegon USA Securities INC.Broker
The Trading Desk, INC.Broker
State Registrations6 states
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.