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AM

Andrew A. Mathes

CAUSEY PUBLIC FINANCE
DENVER, CO
Some features on this profile are disabled
CRD#: 3114069
AM

Professional summary

Andrew Alexander Mathes, who also goes by Mathes Andy, is a registered financial advisor currently at CAUSEY PUBLIC FINANCE located in Denver, Colorado.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Andrew has worked at 8 firms and has passed the Series 63, Series 65, Series 50, Series 7, Series 10, Series 9 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Mathes Andy

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 Andrew Alexander Mathes'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 22, 2024 - Present

CAUSEY PUBLIC FINANCE

RIA
CRD#: 332123
DENVER, CO
Past

May 12, 2022 - September 24, 2024

CAUSEY DEMGEN & MOORE P.C.

RIA
CRD#: 111115
DENVER, CO
Past

October 28, 2020 - August 9, 2021

&PARTNERS

BD
CRD#: 3767
NASHVILLE, TN
Past

September 18, 2020 - August 9, 2021

&PARTNERS

RIA
CRD#: 3767
Cordova, TN
Past

February 22, 2012 - September 22, 2020

FARR MILLER & WASHINGTON LLC

RIA
CRD#: 107553
MEMPHIS, TN
Past

December 2, 2008 - January 27, 2012

SOUTHSTATE SECURITIES CORP.

BD
CRD#: 6950
MEMPHIS (SHELBY), TN
Past

March 29, 2004 - September 20, 2007

STEPHENS

RIA
CRD#: 3496
MEMPHIS, TN
Past

March 18, 2004 - September 20, 2007

STEPHENS

BD
CRD#: 3496
MEMPHIS, TN
Past

January 15, 2002 - February 27, 2004

WILLIAM R. HOUGH & CO.

RIA
CRD#: 2235
ST. PETERSBURG, FL
Past

January 15, 2002 - February 27, 2004

WILLIAM R. HOUGH & CO.

BD
CRD#: 2235
ST. PETERSBURG, FL
Past

November 26, 1999 - December 7, 2001

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN

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".
CP
CAUSEY PUBLIC FINANCE
CAUSEY PUBLIC FINANCE | CAUSEY PUBLIC FINANCE LLC

CRD#: 332123 / SEC#: 801-130992

RIA
Registered Investment Advisory firm - (8/30/2024 Approved)

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
Colorado
(10/22/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/2/2020
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 2/6/2012
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 50
Date: 1/19/2016
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 7
Date: 11/24/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/16/2004
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/13/2004
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/5/2002
Municipal Securities Principal Examination

Current Firm

CP
CAUSEY PUBLIC FINANCE
CAUSEY PUBLIC FINANCE | CAUSEY PUBLIC FINANCE LLC

CRD#: 332123 / SEC#: 801-130992

RIA
Registered Investment Advisory firm - (8/30/2024 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Denver, CO
Mailing Address
Phone number
(720) 669-3358
Established
Firm type
Fiscal year end
# of Employees
15

SEC notice filing (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CAUSEY PUBLIC FINANCE, LLC - FORM ADV PART 2A (3/25/2025)
CAUSEY PUBLIC FINANCE, LLC - FORM ADV PART 2B (3/25/2025)

Regulatory assets under management

Total Number of Accounts68
AUM (Assets Under Management)$ 415,765,077

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.

Company Information

CAUSEY PUBLIC FINANCE

CRD#: 332123Denver, CO

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