Carla MathiasCRD Number: 1349359
Current Firm: Summit Financial Group Inc.
Carla Mathias (CRD# 1349359) is an Investment Advisor Representative working at Summit Financial Group Inc. in Mount Kisco, NY and has over 32 years of experience in the finance industry.
Altium Wealth Management LLC
H. Beck, Inc.
Karagosian Financial Services, Inc.
|Summit Brokerage Services||Mt Kisco, NY||Jun 2005 - Current||12|
|Interstate Financial Group||Mt Kisco, NY||Sep 1980 - Current||37|
|Planning Concepts Corporation||Mt Kisco, NY||Sep 1980 - Current||37|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 1985|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management1,671MILLIONS
Total Number of Accounts8,086ACCOUNTS
Average Account Value$206,638
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, FL, GA, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, MT, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, VA, WA, WI, WV