JM
John A. Mathison
ASSOCIATED INVESTMENT SERVICES
St. Louis Park, MN 55416
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CRD#: 4364996
JM
Professional summary
John Alfred Mathison, who also goes by John Mathison, John Alfred Mathison, is a registered financial advisor currently at ASSOCIATED INVESTMENT SERVICES, INC. located in St. Louis Park, Minnesota.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. John has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Mathison | John Alfred Mathison
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.
CRS (Client Relationship Summary) - RIA
Click below to view John Alfred Mathison's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Alfred Mathison'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
July 25, 2025 - Present
ASSOCIATED INVESTMENT SERVICES, INC.
Office #1: 5353 Wayzata Blvd., St. Louis Park, MN 55416RIA
BD
CRD#: 1464
St. Louis Park, MN
Current
July 25, 2025 - Present
ASSOCIATED INVESTMENT SERVICES, INC.
Office #1: 5353 Wayzata Blvd., St. Louis Park, MN 55416RIA
BD
CRD#: 1464
St. Louis Park, MN
Past
August 6, 2021 - September 12, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
WESTLAKE, TX
Past
August 3, 2021 - September 11, 2023
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
WESTLAKE, TX
Past
August 9, 2018 - June 14, 2021
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
BLAINE, MN
Past
August 9, 2018 - June 14, 2021
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
BLAINE, MN
Past
July 20, 2017 - July 31, 2018
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
APPLE VALLEY, MN
Past
July 20, 2017 - July 31, 2018
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
APPLE VALLEY, MN
Past
May 23, 2017 - July 11, 2017
BMO HARRIS FINANCIAL ADVISORS, INC.
RIA
CRD#: 137115
EDINA, MN
Past
May 23, 2017 - July 11, 2017
BMO HARRIS FINANCIAL ADVISORS, INC.
BD
CRD#: 137115
EDINA, MN
Past
January 22, 2014 - June 1, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
APPLE VALLEY, MN
Past
October 7, 2013 - June 1, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
APPLE VALLEY, MN
Past
December 20, 2010 - November 16, 2011
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
PLYMOUTH, MN
Past
September 20, 2005 - September 16, 2009
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
MINNEAPOLIS, MN
Past
October 14, 2004 - July 25, 2005
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
September 19, 2001 - June 18, 2003
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
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".
ASSOCIATED INVESTMENT SERVICES, INC.
ASSOCIATED | ASSOCIATED WEALTH MANAGEMENT | ASSOCIATED INVESTMENT SERVICES, INC. | ASSOCIATED INVESTMENT SERVICES GROUP, INC. | ASSOCIATED INVESTMENT SERVICES GROUP | ASSOCIATED BANK PRIVATE WEALTH
CRD#: 1464 / SEC#: 801-71639, 8-99
RIA
Registered Investment Advisory firm - SEC (7/1/2010 Approved)Illinois
Registered Investment Advisory firm - SEC (7/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - SEC (7/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/20/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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
Minnesota(7/25/2025)
IAR
Minnesota(7/25/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ASSOCIATED INVESTMENT SERVICES, INC.
ASSOCIATED | ASSOCIATED WEALTH MANAGEMENT | ASSOCIATED INVESTMENT SERVICES, INC. | ASSOCIATED INVESTMENT SERVICES GROUP, INC. | ASSOCIATED INVESTMENT SERVICES GROUP | ASSOCIATED BANK PRIVATE WEALTH
CRD#: 1464 / SEC#: 801-71639, 8-99
RIA
Registered Investment Advisory firm - SEC (7/1/2010 Approved)Illinois
Registered Investment Advisory firm - SEC (7/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - SEC (7/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/20/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
433 Main Street, Green Bay, WI 54301-5114
Mailing Address
P.o. Box 640, Green Bay, WI 54305-0640
Phone number
(800) 595-7722
Established
Wisconsin since 03/23/1923
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
62
SEC notice filing (19 States and Territories)
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASSOCIATED TRUST COMPANY, N.A. | SOLE SHAREHOLDER | |
| ARNOLD, ANDREW JAMES | DIRECTOR, TREASURER | 7744204 |
| BIESE, JUSTIN MICHAEL | PRINCIPAL, FINANCIAL REPORTING | 8134423 |
| CRAVILLION, BETH ANN | DIRECTOR OF SUPPORT SERVICES | 4770231 |
| DELOYE, DENNIS MICHAEL | DIRECTOR, BOARD OF DIRECTORS | 7555524 |
| HLADIO, JAYNE CLARA | DIRECTOR, BOARD OF DIRECTORS | 2497546 |
| HOCHHOLZER, MICHAEL ROBERT | DIRECTOR, BOARD OF DIRECTORS | 2878493 |
| KUIPERS, MICHAEL DAVID | DIRECTOR, PRESIDENT & CEO | 2436388 |
| PECORA, ANTHONY PHILIP | CHIEF COMPLIANCE OFFICER | 2975013 |
| SORENSON, HEATH WILLIAM | CHAIRMAN, BOARD OF DIRECTORS | 4528655 |
| ZANDPOUR, STEVEN SIA | DIRECTOR, BOARD OF DIRECTORS | 7174720 |
Regulatory assets under management
| Total Number of Accounts | 5,050 |
| AUM (Assets Under Management) | $ 1,000,633,569 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/15/2025 | ||
| 09/26/2024 | ||
| 08/21/2023 | ||
| 10/19/2022 |
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.
