Carla S. Mathias

CETERA INVESTMENT ADVISERS LLC

MOUNT KISCO, NY 10549

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CRD#: 1349359

Professional summary

Carla Semryck Mathias is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mount Kisco, New York and CETERA WEALTH SERVICES, LLC located in Mount Kisco, New York.

Carla is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Carla has worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) MATHIAS FAMILY CORPORATION; NOT INVESTMENT RELATED; SAME AS REGISTERED ADDRESS; COMMERCIAL PROPERTY; PRESIDENT; STARTED 6/1/2006; APX 1 HOUR/MONTH, NONE DURING TRADING; ADMINISTRATION DUTIES (2) NAME OF OTHER BUSINESS: INTERSTATE FINANCIAL GROUP ; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 01/1985; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carla Semryck Mathias's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 40 Radio Circle Drive, Suite 4, Mount Kisco, NY 10549

RIA

CRD#: 105644

MOUNT KISCO, NY

Current

September 20, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 40 Radio Circle Drive, Suite 4, Mount Kisco, NY 10549

CRD#: 13572

Mount Kisco, NY

Past

March 22, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

June 30, 2005 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

MT KISCO, NY

Past

June 30, 2005 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

MT KISCO, NY

Past

December 13, 2004 - June 30, 2005

WRP INVESTMENTS, INC.

RIA

CRD#: 7365

HARTSDALE , NY

Past

December 13, 2004 - June 30, 2005

WRP INVESTMENTS, INC.

CRD#: 7365

YOUNGSTOWN, OH

Past

July 15, 2002 - December 13, 2004

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

HARTSDALE, NY

Past

June 12, 2000 - December 13, 2004

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

December 3, 1993 - March 8, 1996

GERALD S. BERGER, INC.

CRD#: 13407

HARTSDALE, NY

Past

July 1, 1991 - June 14, 2000

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

June 11, 1986 - July 1, 1991

GERALD S. BERGER, INC.

CRD#: 13407

HARTSDALE, NY

Past

June 27, 1985 - June 18, 1986

RELIASTAR FINANCIAL MARKETING CORP.

CRD#: 4234

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(9/20/2019)

New Jersey
(9/20/2019)

New York
(9/20/2019)

IAR

New York
(6/29/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/21/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/26/1985

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Carla S. Mathias

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carla Semryck Mathias's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

WRP INVESTMENTS, INC.

WRP INVESTMENTS, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

GERALD S. BERGER, INC.

1717 CAPITAL MANAGEMENT COMPANY

GERALD S. BERGER, INC.

RELIASTAR FINANCIAL MARKETING CORP.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/21/1985

SIE

Date: 10/1/2018

Series 6

Date: 6/26/1985

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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