David A. Mather
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Anderson Mather, who also goes by Andy Mather, D. Anderson Mather, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1972. David had worked at 9 firms and has passed the Series 65, Series 63, Series 31, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2011 - July 10, 2012
THE MATHER GROUP, LLC
June 1, 2009 - March 3, 2011
MORGAN STANLEY
June 1, 2009 - March 3, 2011
MORGAN STANLEY
February 15, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
February 15, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 4, 1989 - February 27, 2008
UBS FINANCIAL SERVICES INC.
April 4, 1989 - February 27, 2008
UBS FINANCIAL SERVICES INC.
February 15, 1988 - April 13, 1989
LEHMAN BROTHERS INC.
October 19, 1979 - February 15, 1988
E. F. HUTTON & COMPANY INC
April 4, 1978 - November 19, 1979
BLUNT ELLIS & LOEWI INCORPORATED
October 1, 1973 - April 4, 1978
BLUNT ELLIS & SIMMONS INCORPORATED
October 4, 1972 - October 24, 1973
HOWE BARNES HOEFER & ARNETT, INC.
Primary Firm SEC Registration
THE MATHER GROUP, LLC
CRD#: 156005 / SEC#: 801-72156
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 12/6/1979
AMEX Put and Call ExamSeries 000
Date: 9/22/1972
General Securities Principal ExaminationSeries 1
Date: 9/22/1972
Registered Representative ExaminationCurrent Firm
THE MATHER GROUP, LLC
CRD#: 156005 / SEC#: 801-72156
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 16,285 |
| AUM (Assets Under Management) | $ 11,710,038,016 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/25/2025 | ||
| 08/28/2023 | ||
| 01/26/2023 |
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.
