Larry L. Mathis

MATHIS WEALTH MANAGEMENT

Phoenix, AZ 85020

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CRD#: 2282125

Professional summary

Larry Lee Mathis, AIF®, CFP® is a registered financial advisor currently at MATHIS WEALTH MANAGEMENT located in Phoenix, Arizona and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Phoenix, Arizona.

Larry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Larry has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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.) MATHIS WEALTH MANAGEMENT - OWNER/FOUNDER - REGISTERED INVESTMENT ADVISOR - PHOENIX, AZ - SINCE 02/2015 - INVESTMENT RELATED 2.) LARRY MATHIS FINANCIAL PLANNING, LLC - OWNER - NON-VARIABLE INSURANCE - PHOENIX, AZ - SINCE 11/2004 - INVESTMENT RELATED 3.) LARRY MATHIS - OWNER - AUTHOR/SPEAKER - PHOENIX, AZ - SINCE 05/2006 - NOT INVESTMENT RELATED 4.) BKMR ENTERPRISES - MEMBER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - PHOENIX, AZ - SINCE 08/2004 - INVESTMENT RELATED 5.) MATHIS WEALTH MANAGEMENT - OWNER - DBA NAME FOR MARKETING PURPOSES ONLY - PHOENIX, AZ - SINCE 02/2015 - INVESTMENT RELATED 6.) LARRY MATHIS - OWNER - SELLING OF URLS (DOMAINS) - PHOENIX, AZ - SINCE 06/2019 - NOT INVESTMENT RELATED 7.) AZ STATE TREASURER FINANCIAL LITERACY TASK FORCE - TASK FORCE MEMBER - COMMUNITY, CIVIC OR CHARITABLE BOARD MEMBER OR OFFICER - PHOENIX, AZ - SINCE 09/2019 - INVESTMENT RELATED 8.) MATHIS PUBLIC SAFETY RETIREMENT - FOUNDER AND CEO - DBA NAME FOR MARKETING PURPOSES ONLY - PHOENIX, AZ - SINCE 09/2021 - INVESTMENT RELATED 9.) MATHIS FAMILY TRUST - OWNER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - PHOENIX, AZ - SINCE 08/2021 - INVESTMENT RELATED 10.) LARRY MATHIS - OWNER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - PHOENIX, AZ - SINCE 09/2020 - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Larry Lee Mathis'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Current

March 17, 2015 - Present

MATHIS WEALTH MANAGEMENT

Office #1: 7210 N 16th Street, Phoenix, AZ 85020

RIA

CRD#: 172858

Phoenix, AZ

Current

July 24, 2000 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 7210 N 16th St Ste A, Phoenix, AZ 85020Office #2: 5450 Telegraph Road Ste. 267, Ventura, CA 93003

RIA

CRD#: 20804

Phoenix, AZ

Past

September 18, 2023 - February 25, 2025

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA

CRD#: 20804

SCOTTSDALE, AZ

Past

January 14, 2005 - October 21, 2015

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA

CRD#: 20804

SCOTTSDALE, AZ

Past

March 17, 1998 - August 3, 2000

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

June 14, 1994 - March 13, 1998

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

January 5, 1993 - June 28, 1994

G. R. PHELPS & CO., INC.

CRD#: 173

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.

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

Alaska
(1/17/2023)

Arizona
(7/24/2000)

IAR

Arizona
(3/17/2015)

California
(7/24/2000)

IAR

California
(3/26/2024)

Colorado
(8/3/2010)

District of Columbia
(7/5/2023)

Florida
(5/23/2013)

Georgia
(9/20/2011)

Hawaii
(9/22/2025)

Idaho
(3/14/2001)

Indiana
(10/17/2023)

Iowa
(2/9/2005)

Maryland
(2/16/2021)

Michigan
(6/24/2025)

Missouri
(9/11/2006)

Montana
(5/8/2018)

Nevada
(9/23/2020)

New Mexico
(1/4/2018)

New York
(8/4/2008)

North Carolina
(2/26/2014)

Ohio
(10/22/2020)

Oregon
(1/30/2012)

Pennsylvania
(5/31/2007)

Tennessee
(7/25/2025)

Texas
(1/3/2005)

IAR

Texas
(4/24/2015)

Utah
(7/24/2000)

Vermont
(7/5/2023)

Virginia
(7/5/2023)

Washington
(5/20/2004)

Wisconsin
(1/7/2019)

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 65

Date: 10/9/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/16/1992

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: 12/23/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/29/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/25/2001

General Securities Principal Examination

SRO Registrations

FINRA

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

Larry L. Mathis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Larry Lee Mathis's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

WS GRIFFITH SECURITIES, INC.

VERAVEST INVESTMENTS, INC.

G. R. PHELPS & CO., INC.

Primary Firm SEC Registration

MATHIS WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 10/9/1995

Series 63

Date: 12/16/1992

SIE

Date: 10/1/2018

Series 7

Date: 12/23/1994

Series 6

Date: 12/29/1992

Series 24

Date: 5/25/2001

FINRA

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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