Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alex? Claim Your ProfileAlex Mathis is a registered representative and investment advisor representative with Western International Securities, Inc., with over 20 years of experience in the financial services industry. Alex has previously worked at LPL FINANCIAL LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, INTERFIRST CAPITAL CORPORATION and SAN CLEMENTE FINANCIAL GROUP SECURITIES, INC.. Alex specializes in financial planning, pension consulting and portfolio management for individuals and businesses. Alex holds Series 7, 24, 63 and 65 licenses, and is registered in California, Florida and Washington.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
CA
04/09/2019 - Present
Western International Securities, Inc. (Westlake Village CA)
CA
11/14/2008 - 11/22/2011
LPL FINANCIAL LLC (WESTLAKE VILLAGE CA)
CA
12/20/2000 - 11/18/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WESTLAKE VILLAGE CA)
CA
06/09/2000 - 10/17/2000
INTERFIRST CAPITAL CORPORATION (LOS ANGELES CA)
NA
04/20/1994 - 01/18/1995
SAN CLEMENTE FINANCIAL GROUP SECURITIES, INC.
NA
10/08/1992 - 06/07/1993
AEGON USA SECURITIES INC.
NA
04/23/1992 - 10/30/1992
THE TRADING DESK, INC.
IA
Issued 03/23/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/19/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/15/2009
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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