Wesley P. Mathews
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.
Wesley Paul Mathews, who also goes by Mathews Paul Wesley, was a registered financial professional .
Wesley is a previously registered financial professional and started their career in finance in 2002. Wesley had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 24, 2019 - October 29, 2025
MILLIMAN INVESTMENT MANAGEMENT SERVICES LLC
May 15, 2015 - December 31, 2019
NORTHERN LIGHTS DISTRIBUTORS, LLC
January 6, 2011 - March 5, 2015
FIXED INCOME CAPITAL PARTNERS, LLC
December 16, 2009 - August 27, 2010
PMA SECURITIES, LLC
August 7, 2002 - September 16, 2002
FIRST TRUST PORTFOLIOS L.P.
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
Current Firm
MILLIMAN INVESTMENT MANAGEMENT SERVICES LLC
CRD#: 292521 / SEC#: , 8-70078
Contact information
FINRA licenses (49 States and Territories)
Documents
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.
