Mathew D. Kempenich

EFS ADVISORS

Stillwater, MN 55082

Some features on this profile are disabled

CRD#: 7807106

Professional summary

Mathew Douglas Kempenich is a registered financial advisor currently at EFS ADVISORS located in Stillwater, Minnesota and ADVANCED ADVISOR GROUP, LLC located in Stillwater, Minnesota.

Mathew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Mathew has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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) CHS, Inc, non-inv; Grove Heights MN, Agriculture, Logistics Coordinator for Crop Nutrients, Employee since 05/2017, 130 inv/30 non-inv hrs/month, dispatch and coordinate 3rd party carries to distribute fertilizer to Crop Nutrients business unit

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mathew Douglas Kempenich'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

November 21, 2023 - Present

EFS ADVISORS

Office #1: 1950 Northwestern Ave #106, Stillwater, MN 55082

RIA

CRD#: 115211

Stillwater, MN

Current

September 18, 2023 - Present

ADVANCED ADVISOR GROUP, LLC

Office #1: 1950 Northwestern Avenue #106, Stillwater, MN 55082

RIA

CRD#: 140393

Stillwater, MN

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".

EFS ADVISORS

EDUCATOR'S FINANCIAL SERVICES, INC. | EFS ADVISORS LLC | EFS ADVISORS

CRD#: 115211 / SEC#: 801-62857

RIA

Registered Investment Advisory firm - (3/11/2004 Approved)

Iowa

Registered Investment Advisory firm - (6/29/2004 Terminated)

North Dakota

Registered Investment Advisory firm - (7/26/2004 Terminated)

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).

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.

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

Minnesota
(11/21/2023)

IAR

Minnesota
(11/21/2023)

IAR

Wisconsin
(2/19/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/21/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/18/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/17/2023

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

EFS ADVISORS

EDUCATOR'S FINANCIAL SERVICES, INC. | EFS ADVISORS LLC | EFS ADVISORS

CRD#: 115211 / SEC#: 801-62857

RIA

Registered Investment Advisory firm - (3/11/2004 Approved)

Iowa

Registered Investment Advisory firm - (6/29/2004 Terminated)

North Dakota

Registered Investment Advisory firm - (7/26/2004 Terminated)

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

1995 East Rum River Drive S, Cambridge, MN 55008

Mailing Address

Phone number

(763) 689-9023

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EFS ADV PART 2 BROCHURE (3/11/2025)

Regulatory assets under management

Total Number of Accounts	29,714
AUM (Assets Under Management)	$ 2,271,853,092

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

Kyle Klatt

OSAIC WEALTH, INC.

IAR

Forest Lake, MN

Brian Niemann

LPL FINANCIAL LLC

IAR

STILLWATER, MN

Michael Erpenbach

LPL FINANCIAL LLC

IAR

Lake Elmo, MN

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mathew D. Kempenich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mathew Douglas Kempenich's CRS (Customer Relationship Summary).

Certified licenses

Experience

EFS ADVISORS

ADVANCED ADVISOR GROUP, LLC

Primary Firm SEC Registration

EFS ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 11/21/2023

Series 7TO

Date: 9/18/2023

SIE

Date: 3/17/2023

FINRA

Current Firm

EFS ADVISORS

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EFS ADVISORS

TRUST BUT VERIFY

Similar Advisors