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Frances Mattera

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CRD#: 1001246
FM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Frances Mattera was a registered financial professional .

Frances is a previously registered financial professional and started their career in finance in 1981. Frances had worked at 5 firms and has passed the SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 5, 2012 - February 10, 2016

COWEN PRIME SERVICES LLC

BD
CRD#: 153397
NEW YORK, NY
Past

March 1, 1996 - January 5, 2012

BURNHAM SECURITIES INC.

BD
CRD#: 22549
NEW YORK, NY
Past

September 26, 1995 - February 27, 1996

AUGMENT SECURITIES INC.

BD
CRD#: 28373
NEW YORK, NY
Past

November 8, 1983 - July 14, 1995

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

June 25, 1981 - September 12, 1983

LEHMAN BROTHERS KUHN LOEB INCORPORATED

BD
CRD#: 7555

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 2/10/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/20/1981
General Securities Representative Examination

Current Firm

CP
COWEN PRIME SERVICES LLC
CONCEPT ASSET MANAGEMENT | COWEN PRIME SERVICES LLC | COWEN PRIME ADVISORS | COWEN OUTSOURCED TRADING | CONCEPT LIFE AGENCY LLC | CONCEPT CAPITAL MARKETS, LLC

CRD#: 153397 / SEC#: , 8-68531

BD
Terminated by SEC on 12/18/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/30/2009
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
COWEN PB HOLDINGS LLCDIRECT PARENT, MEMBER, OWNER
CHARNEY, DANIEL SCEO2158255
HOLMES, JOHNCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1281617
JORDAN, FRANCISPRINCIPAL FINANCIAL OFFICER5634167
POPPELL, RALPH EDWARDCHIEF COMPLIANCE OFFICER1683087

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

COWEN PRIME SERVICES LLC

CRD#: 153397

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