John R. Mattingly
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.
John Robert Mattingly, who also goes by John Robert Mattingly, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 10 firms and has passed the Series 63, Series 6, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2010 - December 31, 2012
WORLD CAPITAL BROKERAGE, INC.
August 1, 2008 - July 30, 2010
NATIONWIDE SECURITIES, LLC
January 29, 2003 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
March 25, 1998 - November 1, 2002
UNITED SECURITIES ALLIANCE, INC.
January 5, 1998 - April 2, 1998
HORNOR, TOWNSEND & KENT, LLC
March 31, 1995 - December 31, 1997
UNITED SECURITIES ALLIANCE, INC.
July 18, 1994 - March 31, 1995
SENTRA SECURITIES CORPORATION
June 28, 1990 - July 18, 1994
PFS INVESTMENTS INC.
August 8, 1985 - December 10, 1985
BRITTENUM & ASSOCIATES, INC.
August 6, 1985 - August 20, 1985
DELTA FINANCIAL INVESTMENT CORPORATION
June 19, 1985 - July 22, 1985
SWINK & COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WORLD CAPITAL BROKERAGE, INC.
CRD#: 37 / SEC#: , 8-6805
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
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