Michael MathiasCRD Number: 1349406
Current Firm: Summit Financial Group Inc.
Michael Mathias (CRD# 1349406) 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. Michael Mathias has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Altium Wealth Management LLC
H. Beck, Inc.
Karagosian Financial Services, Inc.
|Summit Financial Group||Mt Kisco, NY||Jun 2005 - Current||12|
|Summit Brokerage Services Inc.||Mt Kisco, NY||Jun 2005 - Current||12|
|Interstate Financial||Mt Kisco, NY||Jan 1985 - Current||33|
|Planning Concepts Corp||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 Management3,800MILLIONS
Total Number of Accounts27,685ACCOUNTS
Average Account Value$137,241
- 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, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV