Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Mathias is a financial advisor currently working at Wells Fargo Clearing Services, LLC. Philip has over 27 years of experience in the financial services industry. Philip is a registered representative with FINRA and holds the Series 7, 9, 10, 31 and 63 licenses. Philip has a strong background in investment management and financial planning. Philip provides a range of services, including investment consulting, financial planning, pension consulting, selection of other advisors and portfolio management. Philip's previous employers include Morgan Stanley and Morgan Stanley Smith Barney.
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.
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.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
02/18/2020 - Present
Wells Fargo Clearing Services, LLC (WALNUT CREEK CA)
CA
06/01/2009 - 02/19/2020
MORGAN STANLEY (WALNUT CREEK CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (CONCORD CA)
CA
10/17/1995 - 04/02/2007
MORGAN STANLEY DW INC. (CONCORD CA)
IA
Issued 10/27/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/23/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/02/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/01/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/31/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 10/16/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Philip Mathias is the right advisor for you? Invested Better is here to help.
