Michael A. Mathias
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Anthony Mathias, CFP® was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2012
Experience
March 2, 2007 - April 30, 2007
NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY
February 21, 2006 - February 12, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 3, 1993 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
March 2, 1987 - December 19, 1989
ROBERT W. BAIRD & CO. INCORPORATED
June 30, 1983 - October 31, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current firm
No current employment
Red Flags
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