Joshua C. Levell

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CRD#: 6811038

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joshua Caleb Levell, CFP®, who also goes by Josh Levell, Joshua Levell, was a registered financial professional .

Joshua is a previously registered financial professional and started their career in finance in 2018. Joshua had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Josh Levell | Joshua Levell

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)

The CRS(Customer Relationship Summary) document is not provided.

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^®

Certified Financial Planner

Start date: 2021

Experience

Past

August 10, 2020 - December 21, 2022

MATTERN CAPITAL MANAGEMENT, LLC

RIA

CRD#: 299342

LAKEWOOD, CO

Past

August 29, 2018 - August 7, 2020

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DENVER, CO

Past

July 2, 2018 - August 7, 2020

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

DENVER, CO

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 CAPITAL MANAGEMENT, LLC

CRD#: 299342 / SEC#: 801-114522

RIA

Registered Investment Advisory firm - (1/28/2019 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/28/2018

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: 7/2/2018

General Securities Representative Examination

Current Firm

MATTERN CAPITAL MANAGEMENT, LLC

CRD#: 299342 / SEC#: 801-114522

RIA

Registered Investment Advisory firm - (1/28/2019 Approved)

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Contact information

Main Address

165 S. Union Blvd Suite 780, Lakewood, CO 80228

Mailing Address

Phone number

(720) 710-2934

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MATTERN CAPITAL FORM ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,190
AUM (Assets Under Management)	$ 998,867,587

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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Firm Stability Insights

Joshua C. Levell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MATTERN CAPITAL MANAGEMENT, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

MATTERN CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/28/2018

SIE

Date: 10/1/2018

Series 7

Date: 7/2/2018

Current Firm

MATTERN CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MATTERN CAPITAL MANAGEMENT, LLC

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