Jay Mathis
Advisor at LPL Financial
Updated today
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Location
Alto, NM
Credentials
Series 63, Series 65
Industry experience
43 years
About
Jay Mathis is a financial advisor at LPL Financial with 43 years of industry experience. He holds Series 63 and Series 65 licenses and has previously worked at Momentum and LPL Financial in earlier periods. Outside of finance, he provides labor services at El Sueno Bed and Breakfast, a small hospitality business in Alto, New Mexico. LPL Financial offers advisory and brokerage services to a diverse client base, including individual investors, retirement plans, institutions, charities, and high-net-worth households. The firm supports various investment approaches through in-house research, model portfolios, third-party managers, and customized client solutions delivered via a large network of investment adviser representatives.
Client services
Based on LPL Financial
Financial planning
Portfolio management
Educational seminars or workshops
Consulting and other non-discretionary advisory services
Consulting and other non-discretionary advisory services
Expertise
Based on LPL Financial
Wealth management
Retirement plans for business owners (SEP, solo 401k)
College savings (529s, UTMA, etc.)
Tax-loss harvesting
Fee options
Financial planning and consulting services may be charged a flat fee as negotiated.
Brokerage services include commissions, markups, markdowns, and transaction charges; commissions may apply to mutual funds, variable annuities, and other products.
Financial planning hourly fees up to $500 per hour.
Fee-only: Financial planning fees typically range up to $15,000, or up to $500 per hour; fees are negotiated and may be flat or hourly.
Location
Alto, NM
Most active in
Jay M has reported serving >5 clients in these states in the last 12 months.
Texas
Work history
lpl financial
2026 - Present (1 year)
Momentum
2017 - 2026 (9 years)
lpl financial
2009 - 2017 (8 years)
Disclosures
Disclosures include customer complaints, regulatory actions, employment terminations, bankruptcies, and certain legal protections.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
Walker S
Series 63, Series 65
Ruidoso, NM
Stonebridge Capital Management NW, LLC
Walker Sandlin is a financial advisor at Stonebridge Capital Management NW, LLC with 21 years of industry experience. He has been with Stonebridge since 2008. Sandlin holds Series 63 and Series 65 designations. Stonebridge Capital Management NW, LLC provides discretionary portfolio management and investment supervisory services primarily to individuals, high net worth clients, and charitable institutions. The firm customizes investment allocations using a three-part framework of Core, Alpha, and Alternatives strategies, emphasizing professional judgment and discretionary trading authority.
Michael A
Series 63, Series 65
Alto, NM
Cetera
Michael Anderson is a financial advisor at Cetera with 32 years of industry experience. He holds Series 63 and Series 65 designations and has been with Cetera since 1999. Outside of his advisory role, Anderson is the sole proprietor of a CPA firm, which he has owned since 1987. Cetera Investment Advisers serves a diverse client base including individual, high-net-worth, institutional, and retirement-plan clients through a large network of independent advisors. The firm offers a range of portfolio management, financial planning, and fiduciary services, employing a combination of advisor-managed accounts, model portfolios, and third-party managed solutions.
Amanda B
CFP®, ChFC®, Series 66
Ruidoso, NM
Edward Jones
Jo Anna L
Series 66
Ruidoso, NM
Edward Jones
Eric E
CFP®, ChFC®, Series 66
Ruidoso, NM
Edward Jones
Julia M
Series 66
Ruidoso, NM
Edward Jones
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