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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

STEPHEN LAWRENCE MATHIASON

Advisor at ESI FINANCIAL ADVISORS

ADDISON, TX | BELLAIRE, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 10, 1999 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ESI FINANCIAL ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jul 11, 1989
First registration: Jun 10, 1999
Dual registered: yes, broker-dealer
Other names: STEVE MATHIASON
IAPD individual key: 1942628

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ESI FINANCIAL ADVISORS	Independent wealth	Jan 12, 2017	n/a	yes	ADDISON, TX\|BELLAIRE, TX	Current employment
AMERITAS ADVISORY SERVICES	Former SEC adviser	Oct 6, 2011	Jan 13, 2017	no	BELLAIRE, TX\|LINCOLN, NE\|CEDAR PARK, TX	Previous registration
ONEAMERICA SECURITIES, INC.	Bd affiliated wealth	Nov 15, 2004	Oct 6, 2011	no	BELLAIRE, TX\|AUSTIN, TX\|AUSTIN, TX	Previous registration
CARILLON INVESTMENTS, INC.	n/a	Apr 3, 2003	Nov 1, 2004	no	HOUSTON, TX	Previous registration
WADDELL & REED	Former SEC adviser	Jun 10, 1999	Dec 9, 2002	no	HOUSTON, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERITAS ADVISORY SERVICES	ESI FINANCIAL ADVISORS	Jan 13, 2017	Jan 12, 2017	-1	Firm change	Other
ONEAMERICA SECURITIES, INC.	AMERITAS ADVISORY SERVICES	Oct 6, 2011	Oct 6, 2011	0	Firm change	Other
CARILLON INVESTMENTS, INC.	ONEAMERICA SECURITIES, INC.	Nov 1, 2004	Nov 15, 2004	14	Firm change	Other
WADDELL & REED	CARILLON INVESTMENTS, INC.	Dec 9, 2002	Apr 3, 2003	115	Firm change	Other

Relationships

Registered with (5)

→ ESI FINANCIAL ADVISORSRegistered adviserregistration: current employment
Jan 12, 2017 to presentfactForm ADV
→ AMERITAS ADVISORY SERVICESRegistered adviserregistration: previous registration
Oct 6, 2011 to Jan 13, 2017factForm ADV
→ ONEAMERICA SECURITIES, INC.Registered adviserregistration: previous registration
Nov 15, 2004 to Oct 6, 2011factForm ADV
→ CARILLON INVESTMENTS, INC.Registered adviserregistration: previous registration
Apr 3, 2003 to Nov 1, 2004factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Jun 10, 1999 to Dec 9, 2002factForm ADV

Dated events

No dated event names this entity yet.