Michael A. Matheson

MATHESON & ROCK WEALTH MANAGEMENT

Davenport, IA 52807

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CRD#: 2553786

Professional summary

Michael Allen Matheson, who also goes by Mike Matheson, is a registered financial advisor currently at MATHESON & ROCK WEALTH MANAGEMENT, LLC located in Davenport, Iowa.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Michael has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Matheson

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.

PRS 2322, LLC; Not Investment Related; Davenport, IA; Real Estate Owner; 12/2022; 1/MO; 0/MO; Bookkeeping related to building ownership.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Allen Matheson'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

October 17, 2017 - Present

MATHESON & ROCK WEALTH MANAGEMENT, LLC

Office #1: 2322 E. Kimberly Road, Suite 150n, Davenport, IA 52807

RIA

CRD#: 289603

Davenport, IA

Past

November 1, 2017 - October 3, 2022

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

Davenport, IA

Past

May 16, 2016 - January 23, 2018

DETALUS ADVISORS, LLC

RIA

CRD#: 117958

Davenport, IA

Past

January 2, 2009 - November 20, 2017

DETALUS SECURITIES, LLC

CRD#: 103260

DAVENPORT, IA

Past

August 1, 2005 - December 31, 2008

EAGLE ONE INVESTMENTS, LLC

CRD#: 45254

DAVENPORT, IA

Past

April 5, 2005 - May 23, 2005

BEYER & COMPANY

RIA

CRD#: 1243

DAVENPORT, IA

Past

July 19, 1995 - July 29, 2005

BEYER & COMPANY

CRD#: 1243

DAVENPORT, IA

Past

December 7, 1994 - June 26, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

MATHESON & ROCK WEALTH MANAGEMENT, LLC

BEYER & ROCK ADVISORY GROUP, LLC | MATHESON & ROCK WEALTH MANAGEMENT, LLC

CRD#: 289603 / SEC#: 801-114867

RIA

Registered Investment Advisory firm - (3/25/2019 Approved)

Illinois

Registered Investment Advisory firm - (3/25/2019 Terminated)

Iowa

Registered Investment Advisory firm - (4/22/2019 Terminated)

Texas

Registered Investment Advisory firm - (4/18/2019 Terminated)

Wisconsin

Registered Investment Advisory firm - (4/18/2019 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.

Highlighted states indicate IAR registrations

IAR

Iowa
(10/17/2017)

IAR

Texas
(10/30/2017)

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

IAR

Series 65

Date: 5/16/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/9/1995

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: 12/6/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 12/23/2002

Financial and Operations Principal Examination

Current Firm

MATHESON & ROCK WEALTH MANAGEMENT, LLC

BEYER & ROCK ADVISORY GROUP, LLC | MATHESON & ROCK WEALTH MANAGEMENT, LLC

CRD#: 289603 / SEC#: 801-114867

RIA

Registered Investment Advisory firm - (3/25/2019 Approved)

Illinois

Registered Investment Advisory firm - (3/25/2019 Terminated)

Iowa

Registered Investment Advisory firm - (4/22/2019 Terminated)

Texas

Registered Investment Advisory firm - (4/18/2019 Terminated)

Wisconsin

Registered Investment Advisory firm - (4/18/2019 Terminated)

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Contact information

Main Address

2322 E. Kimberly Road, Suite 150n, Davenport, IA 52807

Mailing Address

Phone number

(800) 682-3937

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A & 2B (1/20/2025)

Regulatory assets under management

Total Number of Accounts	1,022
AUM (Assets Under Management)	$ 435,000,000

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.

Contact information

xxxxx@xxxx.xxx

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Michael A. Matheson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Allen Matheson's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

DETALUS ADVISORS, LLC

DETALUS SECURITIES, LLC

EAGLE ONE INVESTMENTS, LLC

BEYER & COMPANY

BEYER & COMPANY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

MATHESON & ROCK WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/16/2016

Series 63

Date: 1/9/1995

SIE

Date: 10/1/2018

Series 7

Date: 12/6/1994

Series 27

Date: 12/23/2002

Current Firm

MATHESON & ROCK WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MATHESON & ROCK WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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