Sylvia L. Matteson

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CRD#: 1016168

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.

Sylvia Lucile Matteson, who also goes by Sylvia Matteson Holliday, Sylvia L. Matteson, Sylvia Matteson, was a registered financial professional .

Sylvia is a previously registered financial professional and started their career in finance in 1982. Sylvia had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sylvia Matteson Holliday | Sylvia L. Matteson | Sylvia Matteson

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

June 29, 2005 - December 4, 2023

AIO FINANCIAL, LLC

RIA

CRD#: 114030

TUCSON, AZ

Past

November 19, 1984 - October 14, 1989

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

September 24, 1983 - December 4, 1984

PROFESSIONAL PLANNING CAPITAL CORPORATION

CRD#: 13850

Past

February 18, 1982 - November 8, 1984

BRIGHTON SECURITIES CORP.

CRD#: 3875

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AIO FINANCIAL, LLC

AIO FINANCIAL, LLC | SYLVIA LUCILE MATTESON | SYLVIA L. MATTESON | FINANCIAL FREEDOM ASSOCIATES | FFA FINANCIAL

CRD#: 114030 / SEC#: 801-118105

RIA

Registered Investment Advisory firm - (2/21/2020 Approved)

Arizona

Registered Investment Advisory firm - (3/8/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/11/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/28/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/16/1982

General Securities Representative Examination

Current Firm

AIO FINANCIAL, LLC

AIO FINANCIAL, LLC | SYLVIA LUCILE MATTESON | SYLVIA L. MATTESON | FINANCIAL FREEDOM ASSOCIATES | FFA FINANCIAL

CRD#: 114030 / SEC#: 801-118105

RIA

Registered Investment Advisory firm - (2/21/2020 Approved)

Arizona

Registered Investment Advisory firm - (3/8/2022 Terminated)

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Contact information

Main Address

2531 E Richards Pl, Tucson, AZ 85716

Mailing Address

Phone number

(520) 325-0769

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AIO ADV PART 2A (1/14/2025)

Regulatory assets under management

Total Number of Accounts	703
AUM (Assets Under Management)	$ 181,932,490

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.

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Sylvia L. Matteson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AIO FINANCIAL, LLC

NATHAN & LEWIS SECURITIES, INC.

PROFESSIONAL PLANNING CAPITAL CORPORATION

BRIGHTON SECURITIES CORP.

Primary Firm SEC Registration

AIO FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/11/1998

Series 63

Date: 4/28/1987

Series 7

Date: 1/16/1982

Current Firm

AIO FINANCIAL, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AIO FINANCIAL, LLC

TRUST BUT VERIFY

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