Jeffrey D. Mathies

MATHIES FINANCIAL PARTNERS

PUEBLO, CO 81004

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CRD#: 5378354

Professional summary

Jeffrey D Mathies, who also goes by Jeff Mathies, Jeffrey Donald Mathies, is a registered financial advisor currently at MATHIES FINANCIAL PARTNERS located in Pueblo, Colorado.

Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Jeffrey has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeff Mathies | Jeffrey Donald Mathies

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.

Independent insurance agent since 2005, same location, approximately 10 hours per month, selling insurance products. Grumpy's Tractor Service dba Fairview Ranch; Pueblo, CO; irrigation design, implementation, and field cultivation service; not investment-related; Started 2019; approximately 4 hours per month; 2 hours per month during trading hours; Administrative and managerial duties

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey D Mathies'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®

None

Experience

Current

September 25, 2009 - Present

MATHIES FINANCIAL PARTNERS

Office #1: 540 E. Abriendo Avenue Suite B, Pueblo, CO 81004

RIA

CRD#: 150079

PUEBLO, CO

Past

May 5, 2008 - October 16, 2009

REDHAWK WEALTH ADVISORS, INC.

RIA

CRD#: 146616

COLORADO SPRINGS, CO

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.

Highlighted states indicate IAR registrations

IAR

Arizona
(7/1/2024)

IAR

Colorado
(9/25/2009)

IAR

Texas
(5/17/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/21/2008

Uniform Investment Adviser Law Examination

Current Firm

MATHIES FINANCIAL PARTNERS

ESTATE AND ELDER PLANNING CENTER | PRESTIGE WEALTH MANAGEMENT, LLC | PRESTIGE WEALTH MANAGEMENT, INC | PRESTIGE FINANCIAL ACADEMY | MATHIES FINANCIAL PARTNERS

CRD#: 150079 / SEC#:

Arizona

Registered Investment Advisory firm - (7/1/2024 Approved)

Colorado

Registered Investment Advisory firm - (9/25/2009 Approved)

Georgia

Registered Investment Advisory firm - (4/2/2025 Terminated)

Texas

Registered Investment Advisory firm - (9/10/2025 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

540 E. Abriendo Avenue Suite B, Pueblo, CO 81004

Mailing Address

Phone number

(719) 434-3939

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	870
AUM (Assets Under Management)	$ 75,000,000

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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Jeffrey D. Mathies

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey D Mathies's CRS (Customer Relationship Summary).

Certified licenses

Experience

MATHIES FINANCIAL PARTNERS

REDHAWK WEALTH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/21/2008

Current Firm

MATHIES FINANCIAL PARTNERS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MATHIES FINANCIAL PARTNERS

TRUST BUT VERIFY

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