Marcus D. Mattern

MATTERN WEALTH MANAGEMENT LLC

Lawrence, KS 66047

Some features on this profile are disabled

CRD#: 6538134

Professional summary

Marcus David Mattern, who also goes by Marcus Mattern, Mark David Mattern, is a registered financial advisor currently at MATTERN WEALTH MANAGEMENT LLC located in Lawrence, Kansas.

Marcus is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Marcus has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Marcus Mattern | Mark David Mattern

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 Marcus David Mattern'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

October 14, 2019 - Present

MATTERN WEALTH MANAGEMENT LLC

Office #1: 1811 Wakarusa Drive Suite 103, Lawrence, KS 66047

RIA

CRD#: 304520

Lawrence, KS

Past

March 3, 2017 - October 15, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LAWRENCE, KS

Past

January 9, 2017 - October 15, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LAWRENCE, KS

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".

MATTERN WEALTH MANAGEMENT LLC

MATTERN WEALTH MANAGEMENT GROUP, LLC | MATTERN WEALTH MANAGEMENT LLC

CRD#: 304520 / SEC#: 801-116993

RIA

Registered Investment Advisory firm - (7/22/2019 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.

Highlighted states indicate IAR registrations

IAR

Kansas
(10/14/2019)

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 66

Date: 3/3/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/9/2017

General Securities Representative Examination

Current Firm

MATTERN WEALTH MANAGEMENT LLC

MATTERN WEALTH MANAGEMENT GROUP, LLC | MATTERN WEALTH MANAGEMENT LLC

CRD#: 304520 / SEC#: 801-116993

RIA

Registered Investment Advisory firm - (7/22/2019 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1811 Wakarusa Drive Suite 103, Lawrence, KS 66047

Mailing Address

Phone number

(785) 842-7680

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MATTERN WEALTH MANAGEMENT GROUP, LLC FORM ADV PART 2A (2/25/2025)

Regulatory assets under management

Total Number of Accounts	1,390
AUM (Assets Under Management)	$ 533,737,347

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.

Similar Advisors

Thomas Calkusic

IDS LIFE INSURANCE COMPANY

Tammy Williams

SANCTUARY ADVISORS, LLC

IAR

Indianapolis, IN

Ryan Taleghani

PENINSULA EQUITY CAPITAL

IAR

San Carlos, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Marcus D. Mattern

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marcus David Mattern's CRS (Customer Relationship Summary).

Certified licenses

Experience

MATTERN WEALTH MANAGEMENT LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

MATTERN WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/3/2017

SIE

Date: 10/1/2018

Series 7

Date: 1/9/2017

Current Firm

MATTERN WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MATTERN WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors