DM
David W. Mattern
MATTERN WEALTH MANAGEMENT LLC
Lawrence, KS 66047
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CRD#: 3160075
DM
Professional summary
David Wayne Mattern is a registered financial advisor currently at MATTERN WEALTH MANAGEMENT LLC located in Lawrence, Kansas.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. David has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
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.
Name of the other business: Whiskey Flats, LLC | Whether the business is investment-related: No | Address of the other business: 918 E 750 Rd, Lawrence, KS 66047 | Nature of the other business: Farm & Rent Income | Position, title, or relationship with the other business: Owner | Start date of the relationship: 02/22/2022 | Approximate number of hours/month devoted to the other business: Max of 2 hours a month | Number of hours you devote to the other business during securities trading hours: None | Brief description of duties relating to the other business: Negotiate Crop Share and Rental Agreement; Name and Address of the other business: Mattern Real Estate Holdings LLC | Address of the business: 4216 Nicklaus Drive, Lawrence, KS 66047 | Nature of the other business, including whether it is investment related: Real Estate Investment Property, not securities related | Your position, title, or association with the other business, including your duties: Position: Owner, Duties: Collecting Rent, Repairs/Property Maintenance, Leasing Agreements, Local Law, Etc. | Start Date:05/13/2025 | Approximate Number of hours per month devoted to other business: 5 Hours |Number of hours you devote to the other business during securities trading hours: 0 Hours.
CRS (Client Relationship Summary) - RIA
Click below to view David Wayne Mattern'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®
NoneExperience
Current
October 14, 2019 - Present
MATTERN WEALTH MANAGEMENT LLC
Office #1: 1811 Wakarusa Drive Suite 103, Lawrence, KS 66047RIA
CRD#: 304520
Lawrence, KS
Past
January 1, 2008 - October 15, 2019
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
LAWRENCE, KS
Past
January 1, 2008 - October 15, 2019
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
LAWRENCE, KS
Past
December 2, 2003 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
LAWRENCE, KS
Past
April 20, 2001 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
LAWRENCE, KS
Past
January 1, 1999 - April 23, 2001
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
MW
MATTERN WEALTH MANAGEMENT LLC
MATTERN WEALTH MANAGEMENT GROUP, LLC | MATTERN WEALTH MANAGEMENT LLC
CRD#: 304520 / SEC#: 801-116993
RIA
Registered Investment Advisory firm - (7/22/2019 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
Kansas(10/14/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
MW
MATTERN WEALTH MANAGEMENT LLC
MATTERN WEALTH MANAGEMENT GROUP, LLC | MATTERN WEALTH MANAGEMENT LLC
CRD#: 304520 / SEC#: 801-116993
RIA
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Contact information
Main Address
1811 Wakarusa Drive Suite 103, Lawrence, KS 66047
Mailing Address
Phone number
(785) 842-7680
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,390 |
| AUM (Assets Under Management) | $ 533,737,347 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
