Dwight Mathis, financial advisor New York NY

Dwight Mathis

CRD Number: 3039115
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Dwight Mathis (CRD# 3039115) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, NY and has over 25 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Melville, NY Jun 2017 - Current 6
Suntrust Advisory Services Atlanta, GA Sep 2016 - Jun 2017 < 1
Suntrust Investment Services, Inc. Atlanta, GA Jul 2016 - Jun 2017 < 1
Merrill Lynch Pierce Fenner & Smith Inc. Charlotte, NC Jan 2001 - Jul 2016 15
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1998
S65 NASAA Investment Advisors Law Examination May 2001
Disclosure Information

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, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Dwight Mathis
Phone Number: 800-637-7455
Firm Website: https://www.merrill.com
Registered State(s):
  • CT
  • NY
  • TX
By the Numbers
  • Total Assets Under Management
    1,271,594
    MILLIONS
  • Total Number of Accounts
    2,911,578
    ACCOUNTS
  • Average Account Value
    $436,737
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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