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CM

Carla S. Mathias

CETERA INVESTMENT ADVISERS
MOUNT KISCO, NY 10549
Some features on this profile are disabled
CRD#: 1349359
CM

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.
The advisor shows no other business activity.

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
BD
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.

BD
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.

BD
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

BD
CRD#: 29604
LOS ANGELES, CA
Past

December 3, 1993 - March 8, 1996

GERALD S. BERGER, INC.

BD
CRD#: 13407
HARTSDALE, NY
Past

July 1, 1991 - June 14, 2000

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
NEWARK, DE
Past

June 11, 1986 - July 1, 1991

GERALD S. BERGER, INC.

BD
CRD#: 13407
HARTSDALE, NY
Past

June 27, 1985 - June 18, 1986

RELIASTAR FINANCIAL MARKETING CORP.

BD
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

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.
RR
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

RR
New Jersey
(9/20/2019)
RR
New York
(9/20/2019)
IAR
New York
(6/29/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/21/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 6/26/1985
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Mount Kisco, NY 10549

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