Joseph Jeffrey Mattia
Professional Summary
Joseph Jeffrey Mattia, who also goes by Joe Mattia, was a registered financial advisor. Joseph was a previously registered financial advisor and started their career in finance 1987 - 2018. Joseph had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Joe Mattia
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
ALLEN CAPITAL MARKETS LLC | OFFROAD RESEARCH | OFFROAD CAPITAL MARKETS LLC | OFFROAD CAPITAL | OFFROAD ADVISORS | NYPPEX, LLC | NYPPEX PRIVATE MARKETS | NYPPE, LLC | NYPPE NETWORKS LLC | NYPPE LLC | NEW YORK PRIVATE PLACEMENT NETWORK, LLC | NEW YORK PRIVATE PLACEMENT EXCHANGE LLC
Contact Information
Established
Delaware since 03/27/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
10Civil Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1987About the Series 6 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Nov 1996Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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