Joseph J. Mattia
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.
Joseph Jeffrey Mattia, who also goes by Joe Mattia, was a registered financial advisor .
Joseph is a previously registered financial advisor and started their career in finance in 1987. Joseph had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2018 - July 2, 2018
NYPPEX, LLC
November 17, 2004 - December 12, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 27, 1991 - December 12, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 1, 1990 - December 10, 1991
MONARCH SECURITIES, INC.
October 20, 1987 - August 7, 1990
MONARCH FINANCIAL SERVICES, 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
Series 8
Date: 11/12/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NYPPEX, LLC
CRD#: 47654 / SEC#: , 8-51849
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
| Civil Event | 4 |
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.
