Lily A. Matias

WEALTHSPIRE RETIREMENT ADVISORY

ALISO VIEJO, CA 92656

CRD#: 2611212

Some features on this profile are disabled

Professional summary

Lily Ann Matias, who also goes by Lily Ann Bocanegra, is a registered financial advisor currently at WEALTHSPIRE RETIREMENT ADVISORY located in Aliso Viejo, California and KESTRA INVESTMENT SERVICES, LLC located in Aliso Viejo, California.

Lily is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Lily has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 82, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lily Ann Bocanegra

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lily Ann Matias'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

July 13, 2015 - Present

WEALTHSPIRE RETIREMENT ADVISORY

Office #1: 120 Vantis Suite 400, Aliso Viejo, CA 92656

RIA

CRD#: 121254

ALISO VIEJO, CA

Current

November 18, 2019 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 120 Vantis Suite 400, Aliso Viejo, CA 92656

CRD#: 42046

Aliso Viejo, CA

Past

December 19, 2014 - December 31, 2017

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Aliso Viejo, CA

Past

June 26, 2013 - November 13, 2014

PFM FUND DISTRIBUTORS, INC.

CRD#: 114474

LOS ANGELES, CA

Past

August 1, 1995 - June 29, 2012

CAPITAL CLIENT GROUP, INC.

CRD#: 6247

LOS ANGELES, CA

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".

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 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

IAR

California
(7/13/2015)

California
(11/18/2019)

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: 7/13/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/21/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 82

Date: 10/26/2009

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 6

Date: 7/31/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 7/19/2007

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

120 Vantis Suite 400, Aliso Viejo, CA 92656

Mailing Address

Phone number

(949) 460-9898

Established

Firm type

Fiscal year end

# of Employees

240

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NFP RETIREMENT (12/23/2025)

Regulatory assets under management

Total Number of Accounts	9,394
AUM (Assets Under Management)	$ 118,031,461,765

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.

Similar Advisors

Mark Rylance

RS CRUM INC.

IAR

NEWPORT BEACH, CA

Ryan Gallo

LPL FINANCIAL LLC

IAR

FULLERTON, CA

Barton Pearce

PARK AVENUE SECURITIES LLC

IAR

Irvine, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lily A. Matias

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lily Ann Matias's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

PFM FUND DISTRIBUTORS, INC.

CAPITAL CLIENT GROUP, INC.

Primary Firm SEC Registration

WEALTHSPIRE RETIREMENT ADVISORY

State Registrations and Notice Filings

Exams

Series 65

Date: 7/13/2015

Series 63

Date: 8/21/1995

SIE

Date: 12/31/2017

Series 82

Date: 10/26/2009

Series 6

Date: 7/31/1995

Series 26

Date: 7/19/2007

FINRA

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHSPIRE RETIREMENT ADVISORY

TRUST BUT VERIFY

Similar Advisors