Robert S. Mattei

R.S. MATTEI & COMPANY

Shreveport, LA

Some features on this profile are disabled

CRD#: 1268046

Professional summary

Robert Sylvester Mattei, CFP®, who also goes by Bobby Sylvester Mattei, Bobby Mattei, is a registered financial advisor currently at R.S. MATTEI & COMPANY, INC. located in Shreveport, Louisiana.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Robert has worked at 8 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bobby Sylvester Mattei | Bobby Mattei

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) - RIA

Click below to view Robert Sylvester Mattei's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1985

Experience

Current

July 23, 2010 - Present

R.S. MATTEI & COMPANY, INC.

RIA

CRD#: 117030

Shreveport, LA

Past

August 1, 1994 - June 22, 1995

SUNPOINT SECURITIES, INC.

CRD#: 25442

LONGVIEW, TX

Past

March 26, 1991 - August 12, 1992

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

May 31, 1989 - December 31, 1990

DERAND/PENNINGTON/BASS, INC.

CRD#: 4679

Past

November 28, 1988 - May 30, 1989

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

Past

January 25, 1988 - December 13, 1988

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

Past

December 24, 1987 - February 13, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

July 25, 1985 - December 24, 1987

FINANCIAL PLANNERS EQUITY CORPORATION

CRD#: 7420

Past

June 20, 1984 - July 31, 1985

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Louisiana
(7/23/2010)

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 66

Date: 12/16/1999

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/29/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/16/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/20/1986

General Securities Principal Examination

Current Firm

R.S. MATTEI & COMPANY, INC.

CRD#: 117030 / SEC#:

Connecticut

Registered Investment Advisory firm - (12/31/2002 Terminated)

Louisiana

Registered Investment Advisory firm - (9/2/1998 Approved)

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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Shreveport, LA

Mailing Address

Phone number

(318) 347-9009

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert S. Mattei

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Sylvester Mattei's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUNPOINT SECURITIES, INC.

OPPENHEIMER & CO. INC.

DERAND/PENNINGTON/BASS, INC.

KEOGLER, MORGAN & COMPANY, INC.

SOUTHMARK FINANCIAL SERVICES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

FINANCIAL PLANNERS EQUITY CORPORATION

INTEGRATED RESOURCES EQUITY CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 12/16/1999

Series 63

Date: 6/29/1984

Series 7

Date: 6/16/1984

Series 24

Date: 3/20/1986

Current Firm

R.S. MATTEI & COMPANY, INC.

Contact information

Documents

Red Flags

Company Information

R.S. MATTEI & COMPANY, INC.

TRUST BUT VERIFY

Similar Advisors