BR
Brock Redondo
MATHIS WEALTH MANAGEMENT
Lake Forest, CA
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CRD#: 7987937
BR
Professional summary
Brock Redondo is a registered financial advisor currently at MATHIS WEALTH MANAGEMENT located in Lake Forest, California and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Lake Forest, California.
Brock is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Brock has worked at 3 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.) BROCK REDONDO - FIXED INSURANCE, LIFE AND HEALTH, DISABILITY, LONG TERM CARE - NON-VARIABLE INSURANCE - PHOENIX, AZ - SINCE 02/2025 - INVESTMENT RELATED - 20 hours per month, substantially all during market hours 2.) BROCK REDONDO - OWNER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - SHOWLOW, AZ - SINCE 05/2019 - INVESTMENT RELATED - 10 hours per month, substantially all during market hours 3.) MATHIS WEALTH MANAGEMENT - FINANCIAL ADVISOR - DBA NAME FOR MARKETING PURPOSES ONLY - LAKE FOREST, CA - SINCE 03/2025 - INVESTMENT RELATED 4.) MATHIS PUBLIC SAFETY RETIREMENT - FINANCIAL ADVISOR - DBA NAME FOR MARKETING PURPOSES ONLY - LAKE FOREST, CA - SINCE 03/2025 - INVESTMENT RELATED 5.) LARRY MATHIS FINANCIAL PLANNING LLC - FINANCIAL ADVISOR - REGISTERED INVESTMENT ADVISOR - LAKE FOREST, CA - SINCE 03/2025 - INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Brock Redondo'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®
NoneExperience
Current
March 5, 2025 - Present
MATHIS WEALTH MANAGEMENT
RIA
CRD#: 172858
Lake Forest, CA
Current
February 26, 2025 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
BD
CRD#: 20804
LAKE FOREST, CA
Past
January 9, 2025 - February 27, 2025
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
Irvine, CA
Past
December 19, 2024 - February 27, 2025
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
Irvine, CA
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".
MW
MATHIS WEALTH MANAGEMENT
LARRY MATHIS FINANCIAL PLANNING, L.L.C. | MATHIS WEALTH MANAGEMENT | MATHIS PUBLIC SAFETY RETIREMENT
CRD#: 172858 / SEC#: 801-128560
RIA
Registered Investment Advisory firm - (8/11/2023 Approved)Arizona
Registered Investment Advisory firm - (8/15/2023 Terminated)Texas
Registered Investment Advisory firm - (8/15/2023 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.RR
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
RR
Arizona(2/26/2025)
IAR
Arizona(3/14/2025)
RR
California(2/26/2025)
IAR
California(3/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/18/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MW
MATHIS WEALTH MANAGEMENT
LARRY MATHIS FINANCIAL PLANNING, L.L.C. | MATHIS WEALTH MANAGEMENT | MATHIS PUBLIC SAFETY RETIREMENT
CRD#: 172858 / SEC#: 801-128560
RIA
Registered Investment Advisory firm - (8/11/2023 Approved)Arizona
Registered Investment Advisory firm - (8/15/2023 Terminated)Texas
Registered Investment Advisory firm - (8/15/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
7210 N 16th Street, Phoenix, AZ 85020
Mailing Address
Phone number
(602) 393-0501
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 691 |
| AUM (Assets Under Management) | $ 183,072,921 |
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.
