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DS

David C. Sponhauer

MATTSON FINANCIAL SERVICES
Kentwood, MI 49512
Some features on this profile are disabled
CRD#: 5939377
DS

Professional summary

David Christian Sponhauer, who also goes by Dave Christian Sponhauer, is a registered financial advisor currently at MATTSON FINANCIAL SERVICES, LLC located in Kentwood, Michigan.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. David has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Dave Christian Sponhauer

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Christian Sponhauer'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®
None

Experience

Current

September 19, 2024 - Present

MATTSON FINANCIAL SERVICES, LLC

Office #1: 3226 28th Street Se, Kentwood, MI 49512
RIA
CRD#: 153067
Kentwood, MI
Past

July 21, 2021 - September 3, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
IONIA, MI
Past

July 21, 2021 - September 3, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
IONIA, MI
Past

June 30, 2015 - July 21, 2021

WADDELL & REED

RIA
CRD#: 866
IONIA, MI
Past

February 12, 2015 - July 21, 2021

WADDELL & REED

BD
CRD#: 866
IONIA, MI

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".
MF
MATTSON FINANCIAL SERVICES, LLC
MATTSON FINANCIAL SERVICES, LLC

CRD#: 153067 / SEC#: 801-120063

RIA
Registered Investment Advisory firm - (1/4/2021 Approved)
Florida
Registered Investment Advisory firm - (1/19/2021 Terminated)
Michigan
Registered Investment Advisory firm - (1/20/2021 Terminated)
Texas
Registered Investment Advisory firm - (1/19/2021 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.

Highlighted states indicate IAR registrations

IAR
Michigan
(9/19/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/29/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/12/2015
General Securities Representative Examination

Current Firm

MF
MATTSON FINANCIAL SERVICES, LLC
MATTSON FINANCIAL SERVICES, LLC

CRD#: 153067 / SEC#: 801-120063

RIA
Registered Investment Advisory firm - (1/4/2021 Approved)
Florida
Registered Investment Advisory firm - (1/19/2021 Terminated)
Michigan
Registered Investment Advisory firm - (1/20/2021 Terminated)
Texas
Registered Investment Advisory firm - (1/19/2021 Terminated)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
3226 28th Street Se, Kentwood, MI 49512
Mailing Address
Phone number
(800) 536-8907
Established
Firm type
Fiscal year end
# of Employees
22

SEC notice filing (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (2/11/2026)

Regulatory assets under management

Total Number of Accounts3,211
AUM (Assets Under Management)$ 514,980,868

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.

Company Information

MATTSON FINANCIAL SERVICES, LLC

CRD#: 153067Kentwood, MI 49512

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