Stephen E. Mattingly
TREIBERG WEALTH MANAGEMENT
Tucson, AZ 85718
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CRD#: 5343116
Professional summary
Stephen Eric Mattingly, CFP® is a registered financial advisor currently at TREIBERG WEALTH MANAGEMENT located in Tucson, Arizona and LPL FINANCIAL LLC located in Tucson, Arizona.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Stephen has worked at 3 firms and has passed the Series 66, 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. 06/30/2009 - TREIBERG WEALTH MANAGEMENT, INC. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 2/24/2017 - Treiberg Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 09/05/2016 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Treiberg Wealth Management, an independent investment advisor firm. I started this business activity in since 09/05/2016. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 2/24/2017 - Treiberg Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 09/05/2016 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Treiberg Wealth Management, an independent investment advisor firm. I started this business activity in 09/05/2016. I expect to spend approximately [160 hours per month] on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 8/10/2017 - SEM Group, Inc - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 06/01/2017 - 20 Hours Per Month During Securities Trading. 5) 10/13/2025 - SEM Holdings LLC - Investment Related - Real Estate Rental - Huntingburg, Indiana - Start Date:11/01/2025 - 10 Hrs/Mth - 0 Hrs During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Eric Mattingly'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®
CFP®
Start date: 2011
Experience
Current
August 29, 2016 - Present
TREIBERG WEALTH MANAGEMENT
Office #1: 3573 East Sunrise Drive Suite 115, Tucson, AZ 85718RIA
CRD#: 284140
Tucson, AZ
Current
July 1, 2009 - Present
LPL FINANCIAL LLC
Office #1: 3573 E Sunrise Dr #115, Tucson, AZ 85718RIA
BD
CRD#: 6413
Tucson, AZ
Past
November 20, 2012 - December 23, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
July 12, 2007 - July 7, 2009
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
TUCSON, AZ
Past
June 11, 2007 - July 7, 2009
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
TUCSON, AZ
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".
TW
TREIBERG WEALTH MANAGEMENT
TREIBERG WEALTH MANAGEMENT | TREIBERG WEALTH MANAGEMENT, INC.
CRD#: 284140 / SEC#: 801-116731
RIA
Registered Investment Advisory firm - (5/30/2019 Approved)Arizona
Registered Investment Advisory firm - (6/3/2019 Terminated)California
Registered Investment Advisory firm - (7/3/2019 Terminated)Texas
Registered Investment Advisory firm - (6/3/2019 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
Arizona(7/1/2009)
IAR
Arizona(9/7/2016)
RR
Colorado(4/4/2017)
RR
Florida(1/24/2020)
RR
Indiana(7/1/2009)
RR
Tennessee(4/11/2025)
RR
Texas(10/24/2012)
IAR
Texas(8/29/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TW
TREIBERG WEALTH MANAGEMENT
TREIBERG WEALTH MANAGEMENT | TREIBERG WEALTH MANAGEMENT, INC.
CRD#: 284140 / SEC#: 801-116731
RIA
Registered Investment Advisory firm - (5/30/2019 Approved)Arizona
Registered Investment Advisory firm - (6/3/2019 Terminated)California
Registered Investment Advisory firm - (7/3/2019 Terminated)Texas
Registered Investment Advisory firm - (6/3/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3573 East Sunrise Drive Suite 115, Tucson, AZ 85718
Mailing Address
Phone number
(520) 232-0505
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 635 |
| AUM (Assets Under Management) | $ 262,032,411 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
