Matthew G. Watters
MIDWEST HERITAGE FINANCIAL ADVISORS
West Des Moines, IA 50265
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CRD#: 2669304
Professional summary
Matthew Graham Watters, CFP® is a registered financial advisor currently at MIDWEST HERITAGE FINANCIAL ADVISORS located in West Des Moines, Iowa and OSAIC WEALTH, INC. located in West Des Moines, Iowa.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Matthew has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Retirement Income Management
Investment Planning
Comprehensive Financial Planni...
Estate Planning
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. DBA - Midwest Heritage Financial Services 2. FINRA ARBITRATOR POSITION: Arbitrator NATURE: 1) INVOLVED AS A FINRA ARBITRATOR - START DATE: 7/2003 - 1% TIME SPENT INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2003 ADDRESS: 3580 EP True Parkway, West Des Moines IA 50265 DESCRIPTION: FINRA Arbitrator. 3. IPERS (Iowa Public Employee's Retirement System) Investment Board POSITION: Investment Board Member NATURE: 1) Public Employee Retirement Plan - 3% TIME SPENT INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 05/01/2023 ADDRESS: 7401 Register Drive, Des Moines, IA 50321 DESCRIPTION: Provide oversight on investment performance and investment policies for the retirement system. 4. IPERS INVESTMENT BOARD MEMBER POSITION: Investment Board Member NATURE: Iowa Public Employees' Retirement System (IPERS) Investment Board member. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 05/01/2023 ADDRESS: 3580 EP True Parkway, West Des Moines IA 50265 DESCRIPTION: Review investment policies and procedures and review investment performance of the retirement fund. 5. HY-VEE FINANCIAL SERVICES POSITION: Agent NATURE: Insurance Sales and Service INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/02/2020 ADDRESS: 3580 EP True Parkway, West Des Moines IA 50265 DESCRIPTION: Insurance sales and service. 6. MIDWEST HERITAGE FINANCIAL SERVICES POSITION: Agent NATURE: Insurance Sales and Service INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/17/2006 ADDRESS: 3580 EP True Parkway, West Des Moines IA 50265 DESCRIPTION: Insurance sales and service. 7. MIDWEST HERITAGE FINANCIAL ADVISORS POSITION: Financial Planner/CCO NATURE: MIDWEST HERITAGE FINANCIAL ADVISORS- INVESTMENT ADVISOR REPRESENTATIVE - INVESTMENT ADVISORY SERVICES - INVESTMENT RELATED: YES - LOCATED AT 3580 EP TRUE PKWY; WEST DES MOINES, IA 50265 INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 11/08/2019 ADDRESS: 3580 EP TRUE PARKWAY, WEST DES MOINES IA 50265 DESCRIPTION: Fee-based planning. 8. SOUTH SHORE STORAGE, LLC POSITION: Owner/Partner NATURE: Storage condo for personal boat storage. Set up as an LLC. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/18/2016 ADDRESS: 10133 NE Frisk Drive, Ankeny IA 50021, United States DESCRIPTION: Owner. Biennial filing.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Graham Watters's 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®
CFP®
Start date: 2021
Experience
Current
November 8, 2019 - Present
MIDWEST HERITAGE FINANCIAL ADVISORS
Office #1: 3580 Ep True Parkway, West Des Moines, IA 50265RIA
CRD#: 306308
West Des Moines, IA
Current
June 14, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 3580 Ep True Pkwy, West Des Moines, IA 50265RIA
BD
CRD#: 23131
WEST DES MOINES, IA
Past
March 28, 2006 - January 10, 2020
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
WEST DES MOINES, IA
Past
January 17, 2006 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
WEST DES MOINES, IA
Past
August 12, 2004 - January 10, 2006
LPL FINANCIAL LLC
RIA
CRD#: 6413
WEST DES MOINES, IA
Past
August 12, 2004 - January 10, 2006
LPL FINANCIAL LLC
BD
CRD#: 6413
WEST DES MOINES, IA
Past
June 12, 2001 - June 7, 2004
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
WEST DES MOINES, IA
Past
March 30, 2001 - June 7, 2004
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
July 16, 1999 - April 3, 2001
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
September 28, 1998 - July 23, 1999
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
August 26, 1996 - May 13, 1998
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
December 12, 1995 - June 28, 1996
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
December 12, 1995 - June 28, 1996
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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".
MH
MIDWEST HERITAGE FINANCIAL ADVISORS
MIDWEST HERITAGE BANK, FSB | MIDWEST HERITAGE FINANCIAL ADVISORS
CRD#: 306308 / SEC#: 801-119038
RIA
Registered Investment Advisory firm - (7/10/2020 Approved)Iowa
Registered Investment Advisory firm - (9/22/2020 Terminated)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.RR
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
RR
Arizona(6/14/2024)
RR
Arkansas(6/14/2024)
RR
Colorado(3/12/2025)
RR
Florida(6/14/2024)
RR
Illinois(6/14/2024)
IAR
Iowa(11/8/2019)
RR
Iowa(6/14/2024)
RR
Kansas(6/14/2024)
RR
Kentucky(2/27/2025)
RR
Minnesota(9/4/2024)
RR
Missouri(6/14/2024)
RR
Nebraska(6/14/2024)
RR
North Carolina(6/14/2024)
RR
South Dakota(6/14/2024)
RR
Tennessee(6/14/2024)
RR
Texas(6/14/2024)
RR
Wisconsin(6/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MH
MIDWEST HERITAGE FINANCIAL ADVISORS
MIDWEST HERITAGE BANK, FSB | MIDWEST HERITAGE FINANCIAL ADVISORS
CRD#: 306308 / SEC#: 801-119038
RIA
Registered Investment Advisory firm - (7/10/2020 Approved)Iowa
Registered Investment Advisory firm - (9/22/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3580 Ep True Parkway, West Des Moines, IA 50265
Mailing Address
Phone number
(515) 246-8378
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 571 |
| AUM (Assets Under Management) | $ 314,203,732 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MIDWEST HERITAGE FINANCIAL ADVISORS
CRD#: 306308West Des Moines, IA 50265TRUST BUT VERIFY
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Contact information
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