SM
Shawn W. Mathis
FINANCIAL MANAGEMENT STRATEGIES
Vancouver, WA
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CRD#: 4287402
SM
Professional summary
Shawn William Mathis is a registered financial advisor currently at FINANCIAL MANAGEMENT STRATEGIES, INC. located in Vancouver, Washington and CETERA INVESTMENT ADVISERS LLC located in Broadview Heights, Ohio.
Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Shawn has worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 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.
1.NAME OF OTHER BUSINESS: FINANCIAL MANAGEMENT STRATEGIES, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE: 10/2018 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISORY REPRESENTATIVE 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 10/2018 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE
CRS (Client Relationship Summary) - RIA
Click below to view Shawn William Mathis'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 16, 2018 - Present
FINANCIAL MANAGEMENT STRATEGIES, INC.
RIA
CRD#: 120818
Vancouver, WA
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 9200 South Hills Blvd Ste 310, Broadview Heights, OH 44147RIA
CRD#: 105644
BROADVIEW HEIGHTS, OH
Current
October 12, 2018 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3200 W Market St Ste 300, Akron, OH 44333BD
CRD#: 13572
Akron, OH
Past
October 12, 2018 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
VANCOUVER, WA
Past
October 5, 2009 - October 17, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
DUBLIN, OH
Past
October 5, 2009 - October 17, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
DUBLIN, OH
Past
August 20, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
COLUMBUS, OH
Past
August 17, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
COLUMBUS, OH
Past
February 20, 2001 - August 22, 2007
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
COLUMBUS, OH
Past
December 22, 2000 - August 22, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
COLUMBUS, OH
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(8/30/2023)
RR
Georgia(10/12/2018)
RR
Kentucky(11/1/2018)
RR
New York(1/3/2023)
RR
North Carolina(2/15/2024)
RR
Ohio(10/12/2018)
IAR
Ohio(10/16/2018)
RR
Oregon(10/17/2025)
IAR
Oregon(10/22/2025)
RR
Pennsylvania(2/15/2024)
RR
South Carolina(4/14/2025)
RR
Tennessee(8/30/2023)
RR
Washington(5/18/2023)
IAR
Washington(5/26/2023)
RR
West Virginia(10/12/2018)
RR
Wyoming(1/9/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
