Michael D. Mathias

CETERA INVESTMENT ADVISERS LLC

MOUNT KISCO, NY 10549

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CRD#: 1349406

Professional summary

Michael David Mathias, CFP® 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.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Michael has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 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) NAME OF OTHER BUSINESS: INTERSTATE FINANCIAL GROUP ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: INSURANCE / FINANCIAL PLANNING ; START DATE: 12/1988 ; POSITION/TITLE/RELATIONSHIP: CHAIRMAN ; APX NUMBER OF HOURS PER WEEK: 12 ; APX NUMBER OF HOURS DURING TRADING HOURS: 12 ; BRIEF DESCRIPTION OF DUTIES: DORMANT RIA ; (2) NAME OF OTHER BUSINESS: CONCEPTS IN PLANNING ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: INSURANCE SALES ; START DATE: 03/2011 ; POSITION/TITLE/RELATIONSHIP: PRESIDENT ; APX NUMBER OF HOURS PER WEEK: 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2 ; BRIEF DESCRIPTION OF DUTIES: INSURANCE SALES ; (3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED INSURANCE ; START DATE: 01/2020 ; APX NUMBER OF HOURS PER WEEK: 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE ;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David 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®

CFP^®

Certified Financial Planner

Start date: 1984

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

June 12, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

July 1, 2005 - January 17, 2019

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

January 5, 2005 - June 30, 2005

WRP INVESTMENTS, INC.

RIA

CRD#: 7365

HARTSDALE , NY

Past

January 3, 2005 - June 30, 2005

WRP INVESTMENTS, INC.

CRD#: 7365

YOUNGSTOWN, OH

Past

June 6, 2000 - December 31, 2004

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

HARTSDALE, NY

Past

June 6, 2000 - December 31, 2004

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

May 20, 1986 - June 30, 2000

GERALD S. BERGER, INC.

CRD#: 13407

HARTSDALE, NY

Past

August 20, 1985 - May 17, 1986

STEIN ABBOTT AND COMPANY

CRD#: 13692

Past

June 27, 1985 - July 9, 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

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

IAR

Series 66

Date: 10/8/2021

Uniform Combined State Law Examination

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 7

Date: 8/17/1985

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/26/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 3/12/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/31/2000

General Securities Principal 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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Michael D. Mathias

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David 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.

STEIN ABBOTT AND COMPANY

RELIASTAR FINANCIAL MARKETING CORP.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/8/2021

Series 63

Date: 8/21/1985

SIE

Date: 10/1/2018

Series 7

Date: 8/17/1985

Series 6

Date: 6/26/1985

Series 51

Date: 3/12/2003

Series 24

Date: 7/31/2000

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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