Peter J. Mathes
Investment Adviser Representative at Ameriprise Financial Services, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Peter J. Mathes is an investment adviser representative with Ameriprise Financial Services, LLC in Terryville, CT, where they have been registered since 2020. They have worked in the securities industry since 1995 and have been registered with 3 firms, including Global Portfolio Strategies, Inc. and Prudential Retirement Brokerage Services, Inc. They have passed 10 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in Connecticut and Minnesota.
Registrations & licenses
- Investment adviser:
- Connecticut, Minnesota
- Broker:
7 states and territories
Arkansas, Connecticut, Florida, Massachusetts, Minnesota, Utah, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Prudential Investment Management Services LLCApr 2005 – Apr 2019Hartford, CT
- Global Portfolio Strategies, Inc.Oct 2006 – Dec 2018Hartford, CT
- Prudential Insurance Company OF AmericaApr 2005 – Apr 2019Hartford, CT
- Ameriprise Financial Services, LLC.Jun 2020 – no end date reportedMinneapolis, MN
- UnemploymentApr 2019 – Jun 2020New Hartford, CT
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Ameriprise Financial Services, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 12,969
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Minneapolis, MN
- SEC file number:
- 801-28543
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 25, 2026
View full firm profileOther advisors at Ameriprise Financial Services, LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Peter J. Mathes has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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