David Wayne Mattern
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
MATTERN WEALTH MANAGEMENT GROUP, LLC | MATTERN WEALTH MANAGEMENT LLC
Contact Information
Main Address
1811 Wakarusa Drive Suite 103, Lawrence, KS 66047Phone Number
(785) 842-7680# of Employees
5SEC notice filing (12 States and Territories)
Registered to provide investment advisory services in 12 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,412AUM (Assets Under Management)
$579,025,968Similar Advisors
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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.
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Primary Firm SEC Registration
MATTERN WEALTH MANAGEMENT GROUP, LLC | MATTERN WEALTH MANAGEMENT LLC
State Registrations and Notice Filings
(10/14/2019)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Oct 2016About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Sep 2016About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view David Wayne Mattern's CRS (Customer Relationship Summary).
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