Matthew G. Watters

MIDWEST HERITAGE FINANCIAL ADVISORS

West Des Moines, IA 50265

CRD#: 2669304

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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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Graham Watters'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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

November 8, 2019 - Present

MIDWEST HERITAGE FINANCIAL ADVISORS

Office #1: 3580 Ep True Parkway, West Des Moines, IA 50265

RIA

CRD#: 306308

West Des Moines, IA

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 3580 Ep True Pkwy, West Des Moines, IA 50265

RIA

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.

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

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

CRD#: 12984

APPLETON, WI

Past

July 16, 1999 - April 3, 2001

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

September 28, 1998 - July 23, 1999

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

August 26, 1996 - May 13, 1998

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

December 12, 1995 - June 28, 1996

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

December 12, 1995 - June 28, 1996

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

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".

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)

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

Arizona
(6/14/2024)

Arkansas
(6/14/2024)

Colorado
(3/12/2025)

Florida
(6/14/2024)

Illinois
(6/14/2024)

IAR

Iowa
(11/8/2019)

Iowa
(6/14/2024)

Kansas
(6/14/2024)

Kentucky
(2/27/2025)

Michigan
(1/2/2026)

Minnesota
(9/4/2024)

Missouri
(6/14/2024)

Nebraska
(6/14/2024)

North Carolina
(6/14/2024)

South Dakota
(6/14/2024)

Tennessee
(6/14/2024)

Texas
(6/14/2024)

Wisconsin
(6/14/2024)

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: 1/12/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/23/1995

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: 3/3/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/11/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/9/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 AND 2B 010226 (1/2/2026)

Regulatory assets under management

Total Number of Accounts	647
AUM (Assets Under Management)	$ 398,657,041

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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Matthew G. Watters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Graham Watters's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

CETERA WEALTH SERVICES, LLC

ESSEX NATIONAL SECURITIES, LLC

CETERA WEALTH SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

MIDWEST HERITAGE FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 1/12/2001

Series 63

Date: 10/23/1995

SIE

Date: 10/1/2018

Series 7

Date: 3/3/1999

Series 6

Date: 12/11/1995

Series 24

Date: 10/9/1999

FINRA

Current Firm

MIDWEST HERITAGE FINANCIAL ADVISORS

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MIDWEST HERITAGE FINANCIAL ADVISORS

TRUST BUT VERIFY

Contact information

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