Randolph P. Hinton

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CRD#: 1539210

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.

Randolph Phillip Hinton was a registered financial professional .

Randolph is a previously registered financial professional and started their career in finance in 1987. Randolph had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.) RH WEALTH ADVISORS INC - PRESIDENT - NON-VARIABLE INSURANCE - VENTURA, CA - SINCE 01/2008 - NOT INVESTMENT RELATED 2.) RH WEALTH ADVISORS INC - PRESIDENT - S-CORP (MANGE INCOME, OFFICE, EXPENSES AND EMPLOYEES) - VENTURA, CA - SINCE 01/2008 - INVESTMENT RELATED 3.) RH WEALTH ADVISORS INC - PRESIDENT - DBA NAME FOR MARKETING PURPOSES ONLY - VENTURA, CA - SINCE 01/2008 - INVESTMENT RELATED 4.) RETIREMENT WELLNESS GROUP LLC - SOLICITOR - PENSION RELATED SERVICES - NEWPORT BEACH, CA - SINCE 12/2018 - INVESTMENT RELATED 5.) VENTURA MUSIC FESTIVAL - BOARD MEMBER - COMMUNITY, CIVIC OR CHARITABLE BOARD MEMBER OR OFFICER - VENTURA, CA - SINCE 05/2019 - INVESTMENT RELATED 6.) RH WEALTH ADVISORS, INC. - PRESIDENT - LIFE SETTLEMENT - VENTURA, CA - SINCE 01/2008 - NOT INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 14, 2023 - October 18, 2023

MATHIS WEALTH MANAGEMENT

RIA

CRD#: 172858

Ventura, CA

Past

March 10, 2000 - October 17, 2023

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA

CRD#: 20804

VENTURA, CA

Past

May 5, 1995 - October 17, 2023

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

VENTURA, CA

Past

March 12, 1990 - May 10, 1995

WASHINGTON INVESTMENT CORPORATION

CRD#: 25727

WASHINGTON, DC

Past

January 1, 1990 - March 3, 1990

FIRST POTOMAC INVESTMENT SERVICES, INC.

CRD#: 24066

FALLS CHURCH, VA

Past

October 17, 1988 - October 5, 1989

JOHNSTON, LEMON & CO. INCORPORATED

CRD#: 473

WASHINGTON, DC

Past

July 13, 1987 - October 21, 1988

ANDERSON & STRUDWICK, INCORPORATED

CRD#: 48

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".

MATHIS WEALTH MANAGEMENT

LARRY MATHIS FINANCIAL PLANNING, L.L.C. | MATHIS WEALTH MANAGEMENT | MATHIS PUBLIC SAFETY RETIREMENT

CRD#: 172858 / SEC#: 801-128560

RIA

Registered Investment Advisory firm - (8/11/2023 Approved)

Arizona

Registered Investment Advisory firm - (8/15/2023 Terminated)

Texas

Registered Investment Advisory firm - (8/15/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 6/29/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/6/1992

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/20/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/20/1995

General Securities Principal Examination

Current Firm

MATHIS WEALTH MANAGEMENT

LARRY MATHIS FINANCIAL PLANNING, L.L.C. | MATHIS WEALTH MANAGEMENT | MATHIS PUBLIC SAFETY RETIREMENT

CRD#: 172858 / SEC#: 801-128560

RIA

Registered Investment Advisory firm - (8/11/2023 Approved)

Arizona

Registered Investment Advisory firm - (8/15/2023 Terminated)

Texas

Registered Investment Advisory firm - (8/15/2023 Terminated)

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Contact information

Main Address

7210 N 16th Street, Phoenix, AZ 85020

Mailing Address

Phone number

(602) 393-0501

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MATHIS WEALTH MANAGEMENT FORM ADV PART 2A (9/4/2025)

Regulatory assets under management

Total Number of Accounts	691
AUM (Assets Under Management)	$ 183,072,921

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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Advisor Monitoring

Firm Stability Insights

Randolph P. Hinton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

WASHINGTON INVESTMENT CORPORATION

FIRST POTOMAC INVESTMENT SERVICES, INC.

JOHNSTON, LEMON & CO. INCORPORATED

ANDERSON & STRUDWICK, INCORPORATED

Primary Firm SEC Registration

MATHIS WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 6/29/1987

SIE

Date: 10/1/2018

Series 3

Date: 3/6/1992

Series 7

Date: 6/20/1987

Series 24

Date: 3/20/1995

Current Firm

MATHIS WEALTH MANAGEMENT

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MATHIS WEALTH MANAGEMENT

TRUST BUT VERIFY

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