Trevor K. Mathes
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.
Trevor Kane Mathes was a registered financial professional .
Trevor is a previously registered financial professional and started their career in finance in 1989. Trevor had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2016 - October 8, 2018
WOODMEN FINANCIAL SERVICES, INC.
September 26, 2011 - February 4, 2016
ALLSTATE FINANCIAL SERVICES, LLC
August 2, 2005 - September 28, 2011
INVESTORS CAPITAL CORP.
June 11, 2004 - December 31, 2005
INVESTORS FINANCIAL PLANNING, INC.
February 2, 2004 - August 1, 2005
EASTERN POINT ADVISORS INC.
January 19, 1993 - September 28, 2011
INVESTORS CAPITAL CORP.
December 18, 1991 - January 25, 1993
FINANCIAL SECURITIES NETWORK,INC.
March 10, 1990 - December 16, 1991
ARAGON FINANCIAL SERVICES, INC.
October 3, 1989 - March 5, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 3, 1989 - March 5, 1990
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WOODMEN FINANCIAL SERVICES, INC.
CRD#: 117365 / SEC#: , 8-53592
Contact information
FINRA licenses (38 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WFS HOLDINGS, INC. | 100% OWNER OF WOODMEN FINANCIAL SERVICES, INC. | |
| BENGTSON, CYNTHIA SHAWN | DIRECTOR AND CHAIRMAN | 6073749 |
| BUDERUS, TIMOTHY KEVIN | PRESIDENT, CEO AND DIRECTOR | 3083401 |
| DARLING, DANIEL RUSSELL | SENIOR SALES MANAGER | 5220507 |
| DAY, JACOB MICHAEL | DIRECTOR | 5003086 |
| DRIFFILL, CHARLES REICH JR. | DIRECTOR | 5239194 |
| EBLEN, LINDSEY JEAN | FINOP AND REVIEW PRINCIPAL (CFO)/TREASURER | 4496236 |
| OLARI, NICHOLAS CONNER | DIRECTOR AND SECRETARY | 6079027 |
| PORTER, RAHJA | CHIEF COMPLIANCE OFFICER | 6860469 |
| ROSAUER, ADAM THOMAS | MANAGER OF OPERATIONS | 4761408 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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