Wendy L. Matheny

CETERA INVESTMENT ADVISERS LLC

RALEIGH, NC

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CRD#: 4885726

Professional summary

Wendy Lynne Matheny, AIF®, CIMA®, CPWA®, who also goes by Wendy Lynne Matheny Mrs., Wendy Lynne Matheny, Wendy Lynne Oconnell, Wendy Lynne Woster, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Raleigh, North Carolina and CETERA INVESTMENT SERVICES LLC located in El Segundo, California.

Wendy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Wendy has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Wendy Lynne Matheny Mrs. | Wendy Lynne Matheny | Wendy Lynne Oconnell | Wendy Lynne Woster

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.

AVANTAX INSURANCE AGENCY AND/OR AVANTAX INSURANCE SERVICES POSITION: Insurance Producer NATURE: Insurance sales through Avantax INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/06/2021 ADDRESS: 3200 Olympus Blvd., Suite 100, Dallas TX 75019, United States DESCRIPTION: I have no duties except to maintain CE requirements to remain licensed.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wendy Lynne Matheny's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

CIMA^®

Certified Investment Management Analyst

CPWA^®

Certified Private Wealth Advisor

Start date: 2017-01-04

Expire date: 2023-07-31

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245

RIA

CRD#: 105644

RALEIGH, NC

Current

February 28, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 15340

El Segundo, CA

Current

February 28, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245Office #2: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 13572

EL SEGUNDO, CA

Current

February 28, 2025 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 10358

El Segundo, CA

Current

February 28, 2025 - Present

CETERA ADVISORS LLC

Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245

CRD#: 10299

El Segundo, CA

Past

October 25, 2019 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

EL SEGUNDO, CA

Past

October 25, 2019 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

January 14, 2019 - October 25, 2019

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

DALLAS, TX

Past

January 14, 2019 - October 25, 2019

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Past

October 12, 2018 - January 9, 2019

CETERA WEALTH SERVICES, LLC

CRD#: 13572

OMAHA, NE

Past

June 9, 2010 - July 30, 2018

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

DALLAS, TX

Past

June 9, 2010 - July 30, 2018

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Past

August 11, 2008 - November 19, 2008

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

CORAL GABLES, FL

Past

May 23, 2008 - November 19, 2008

CHARLES SCHWAB & CO., INC.

CRD#: 5393

CORAL GABLES, FL

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

North Carolina
(9/5/2025)

Texas
(9/5/2025)

IAR

Texas
(9/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/6/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/30/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/2008

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Wendy L. Matheny

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wendy Lynne Matheny's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

CETERA WEALTH SERVICES, LLC

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/6/2008

SIE

Date: 7/30/2018

Series 7

Date: 5/21/2008

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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