MM
Matthew L. Mattheisen
FOCUS FINANCIAL
Minneapolis, MN 55413
Some features on this profile are disabled
CRD#: 4508866
MM
Professional summary
Matthew Louis Mattheisen, who also goes by Matthew Louis Mattheisen, is a registered financial advisor currently at FOCUS FINANCIAL located in Minneapolis, Minnesota and OSAIC WEALTH, INC. located in Minneapolis, Minnesota.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Matthew has worked at 7 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7 and Series 31 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matthew Louis Mattheisen
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.AUTHOR POSITION: Author NATURE: I have written a book on career growth and career mentoring. I do not state that I am a financial advisor in the book nor do I mention the name of the firm I am employed with. There is no mention of financial advice or mention of financial planning or the markets. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/07/2024 ADDRESS: 20989 Juno Avenue N, Forest Lake MN 55025, United States DESCRIPTION: Book has already been written. Have submitted the draft for approval. I will not actively market this book nor will I use it as a part of my financial practice. 2. FOCUS FINANCIAL NETWORK INC POSITION: Insurance Agent NATURE: Insurance agency. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 3 START DATE: 10/26/2018 ADDRESS: 1300 Godward Street NE, Suite 5500, Minneapolis MN 55413, United States DESCRIPTION: Sales and service of fixed insurance products. 3. FOCUS FINANCIAL NETWORK INC POSITION: Financial Advisor NATURE: Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/26/2018 ADDRESS: 1300 Godward Street NE, Suite 5500, Minneapolis MN 55413, United States DESCRIPTION: Financial and investment planning. Asset allocation and retirement planning. 4. MATTHEISEN FINANCIAL POSITION: President NATURE: S Corp INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2019 ADDRESS: 20989 Juno Avenue N, Forest Lake MN 55025, United States DESCRIPTION: Mattheisen Financial was set up as the entity in which my portfolio management fees are deposited, fees, rent and taxes are paid from. 5. DECODER UNIVERSE POSITION: Founder NATURE: Have not registered the business yet with a legal entity. I have only created the code and platform for the business. https://decoder-universe.streamlit.app/ I have a detailed proposal of which I can send that explains the platform description, revenue model, compliance framework, data protection and privacy, risk assessment and mitigation, ongoing monitoring, and ethical framework. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2025 ADDRESS: 20989 Juno Avenue N, Forest Lake MN 55025, United States DESCRIPTION: Maintain apps.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Louis Mattheisen'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
November 1, 2018 - Present
FOCUS FINANCIAL
Office #1: 1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413RIA
CRD#: 116140
Minneapolis, MN
Current
October 26, 2018 - Present
OSAIC WEALTH, INC.
Office #1: 1300 Godward St Ne Suite 5500, Minneapolis, MN 55413RIA
BD
CRD#: 23131
Minneapolis, MN
Past
September 24, 2014 - November 9, 2018
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
ST. PAUL, MN
Past
September 24, 2014 - November 9, 2018
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
ST. PAUL, MN
Past
July 11, 2013 - September 9, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
BLOOMINGTON, MN
Past
March 1, 2013 - September 9, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
BLOOMINGTON, MN
Past
May 2, 2006 - January 11, 2013
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
OAKDALE, MN
Past
January 17, 2003 - March 11, 2003
ALLIANZ LIFE FINANCIAL SERVICES, LLC
BD
CRD#: 612
MINNEAPOLIS, MN
Past
April 30, 2002 - January 8, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
CRD#: 116140 / SEC#: 801-71117
RIA
Registered Investment Advisory firm - (3/2/2010 Approved)Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)California
Registered Investment Advisory firm - (3/8/2010 Terminated)Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)New York
Registered Investment Advisory firm - (3/5/2010 Terminated)North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (3/5/2010 Terminated)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(10/26/2018)
IAR
Minnesota(11/1/2018)
RR
Wisconsin(10/26/2018)
RR
Wyoming(7/11/2019)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
CRD#: 116140 / SEC#: 801-71117
RIA
Registered Investment Advisory firm - (3/2/2010 Approved)Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)California
Registered Investment Advisory firm - (3/8/2010 Terminated)Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)New York
Registered Investment Advisory firm - (3/5/2010 Terminated)North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (3/5/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413
Mailing Address
Phone number
(651) 631-8166
Established
Firm type
Fiscal year end
# of Employees
172
SEC notice filing (46 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 26,057 |
| AUM (Assets Under Management) | $ 6,262,663,508 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/16/2025 |
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.
