Michael C. Mattison

PLANVEST FINANCIAL

GAITHERSBURG, MD 20878

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CRD#: 2723042

Professional summary

Michael Charles Mattison, who also goes by Mike Mattison, is a registered financial advisor currently at PLANVEST FINANCIAL, INC. located in Gaithersburg, Maryland.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Michael has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Mattison

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) PLANVEST FINANCIAL. INVESTMENT RELATED. 6 MONTGOMERY VILLAGE AVE, SUITE 510, GAITHERSBURG, MD 20879. REGISTERED INVESTMENT ADVISOR. IAR. START DATE 01/2018. 160 HOURS PER MONTH/100 HOURS DURING TRADING HOURS. FINANCIAL PLANNING AND INVESTMENT ADVISORY. 2) PLANVEST FEDERAL. INVESTMENT RELATED. 6 MONTGOMERY VILLAGE AVE, SUITE 510, GAITHERSBURG, MD 20879. INVESTMENT ADVISOR. IAR. START DATE 11/2017. 120 HOURS PER MONTH/6 HOURS DURING TRADING HOURS. INVESTMENT ADVISOR. 3)FIXED INSURANCE. NOT INVESTMENT RELATED. 6 MONTGOMERY VILLAGE AVE, SUITE 510, GAITHERSBURG, MD 20879. FIXED INSURANCE. INSURANCE AGENT. START DATE 07/2019. 3 HOURS PER MONTH/3 HOURS DURING TRADING HOURS. OFFERING FIXED INSURANCE PRODUCTS TO CLIENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Charles Mattison'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

January 2, 2018 - Present

PLANVEST FINANCIAL, INC.

Office #1: 711 Washingtonian Blvd, Suite Suite 550, Gaithersburg, MD 20878

RIA

CRD#: 290306

GAITHERSBURG, MD

Past

December 23, 2019 - December 31, 2020

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Gaithersburg, MD

Past

August 3, 2012 - May 9, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

GAITHERSBURG, MD

Past

December 12, 2011 - August 3, 2012

RESEARCH FINANCIAL STRATEGIES

RIA

CRD#: 153247

ROCKVILLE, MD

Past

November 18, 2011 - November 18, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

GAITHERSBURG, MD

Past

November 18, 2011 - December 24, 2019

LPL FINANCIAL LLC

CRD#: 6413

GAITHERSBURG, MD

Past

August 31, 2006 - November 18, 2011

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

GAITHERSBURG, MD

Past

August 31, 2006 - November 18, 2011

CENTAURUS FINANCIAL, INC.

CRD#: 30833

GAITHERSBURG, MD

Past

September 18, 2003 - July 24, 2006

USALLIANZ SECURITIES, INC.

RIA

CRD#: 40875

LEESBURG, VA

Past

September 18, 2003 - September 6, 2006

USALLIANZ SECURITIES, INC.

CRD#: 40875

LEESBURG, VA

Past

August 4, 1999 - October 2, 2003

CETERA ADVISORS LLC

RIA

CRD#: 10299

POTOMAC, MD

Past

April 5, 1999 - October 2, 2003

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

March 11, 1996 - April 7, 1999

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

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".

PLANVEST FINANCIAL, INC.

CRD#: 290306 / SEC#: 801-131058

RIA

Registered Investment Advisory firm - (9/9/2024 Approved)

Florida

Registered Investment Advisory firm - (12/24/2024 Terminated)

Maryland

Registered Investment Advisory firm - (12/31/2024 Terminated)

South Carolina

Registered Investment Advisory firm - (12/24/2024 Terminated)

Virginia

Registered Investment Advisory firm - (1/2/2025 Terminated)

West Virginia

Registered Investment Advisory firm - (12/31/2024 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

Maryland
(1/2/2018)

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: 4/17/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/1/1996

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: 6/24/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/8/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PLANVEST FINANCIAL, INC.

CRD#: 290306 / SEC#: 801-131058

RIA

Registered Investment Advisory firm - (9/9/2024 Approved)

Florida

Registered Investment Advisory firm - (12/24/2024 Terminated)

Maryland

Registered Investment Advisory firm - (12/31/2024 Terminated)

South Carolina

Registered Investment Advisory firm - (12/24/2024 Terminated)

Virginia

Registered Investment Advisory firm - (1/2/2025 Terminated)

West Virginia

Registered Investment Advisory firm - (12/31/2024 Terminated)

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Contact information

Main Address

711 Washingtonian Blvd, Suite Suite 550, Gaithersburg, MD 20878

Mailing Address

Phone number

(301) 977-7123

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

WRAP FEE PROGRAM BROCHURE (11/5/2025)

ADV 2A - FIRM DISCLOSURE BROCHURE (11/5/2025)

Regulatory assets under management

Total Number of Accounts	538
AUM (Assets Under Management)	$ 125,956,168

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

Michael C. Mattison

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Charles Mattison's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

LPL FINANCIAL LLC

RESEARCH FINANCIAL STRATEGIES

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

USALLIANZ SECURITIES, INC.

USALLIANZ SECURITIES, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

Primary Firm SEC Registration

PLANVEST FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/17/1997

Series 63

Date: 4/1/1996

SIE

Date: 10/1/2018

Series 7

Date: 6/24/1996

Series 6

Date: 3/8/1996

Current Firm

PLANVEST FINANCIAL, INC.

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PLANVEST FINANCIAL, INC.

TRUST BUT VERIFY

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