Roy L. Mattox

INTEGRATED FINANCIAL STRATEGIES

Matthews, NC

CRD#: 1729009

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Professional summary

Roy Leonard Mattox, who also goes by Roy Mattox, is a registered financial advisor currently at INTEGRATED FINANCIAL STRATEGIES, LLC located in Matthews, North Carolina and PROSPERITY WEALTH MANAGEMENT, INC. located in Charlotte, North Carolina.

Roy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Roy has worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Roy Mattox

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 Roy Leonard Mattox's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 5, 2020 - Present

INTEGRATED FINANCIAL STRATEGIES, LLC

RIA

CRD#: 165007

Matthews, NC

Current

June 26, 2026 - Present

PROSPERITY WEALTH MANAGEMENT, INC.

RIA

CRD#: 174328

Charlotte, NC

Past

November 26, 2018 - May 5, 2020

UWHARRIE INVESTMENT ADVISORS, INC.

RIA

CRD#: 117592

Charlotte, NC

Past

November 17, 2015 - December 19, 2016

DARVAS INVESTMENT MANAGEMENT LLC

RIA

CRD#: 265791

TEGA CAY, SC

Past

May 20, 2014 - March 27, 2015

DARVAS INVESTMENT MANAGEMENT LLC

RIA

CRD#: 153648

CHARLOTTE, NC

Past

May 11, 2010 - December 31, 2013

DARVAS INVESTMENT MANAGEMENT LLC

RIA

CRD#: 153648

CHARLOTTE, NC

Past

March 9, 1995 - February 4, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 3, 1988 - February 27, 1995

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

March 24, 1988 - October 8, 1988

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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".

INTEGRATED FINANCIAL STRATEGIES, LLC

INTEGRATED FINANCIAL STRATEGIES, LLC | MILLER FINANCIAL

CRD#: 165007 / SEC#: 801-106490

RIA

Registered Investment Advisory firm - (8/10/2015 Approved)

Louisiana

Registered Investment Advisory firm - (8/21/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (8/13/2015 Terminated)

South Carolina

Registered Investment Advisory firm - (8/13/2015 Terminated)

Texas

Registered Investment Advisory firm - (8/13/2015 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.

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

North Carolina
(5/5/2020)

IAR

Texas
(5/18/2021)

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: 3/22/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/11/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/20/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 8/11/1987

Municipal Securities Principal Examination

Current Firm

INTEGRATED FINANCIAL STRATEGIES, LLC

INTEGRATED FINANCIAL STRATEGIES, LLC | MILLER FINANCIAL

CRD#: 165007 / SEC#: 801-106490

RIA

Registered Investment Advisory firm - (8/10/2015 Approved)

Louisiana

Registered Investment Advisory firm - (8/21/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (8/13/2015 Terminated)

South Carolina

Registered Investment Advisory firm - (8/13/2015 Terminated)

Texas

Registered Investment Advisory firm - (8/13/2015 Terminated)

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Contact information

Main Address

2400 East Commercial Boulevard Suite 706, Fort Lauderdale, FL 33308

Mailing Address

Phone number

(704) 643-5000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INTEGRATED FINANCIAL STRATEGIES DISCLOSURE BROCHURE (5/2/2025)

MILLER FINANCIAL WRAP FEE BROCHURE-APPENDIX 1 (5/2/2025)

MILLER FINANCIAL DISCLOSURE BROCHURE (5/2/2025)

INTEGRATED FINANCIAL STRATEGIES WRAP FEE PROGRAM BROCHURE (5/2/2025)

Regulatory assets under management

Total Number of Accounts	1,400
AUM (Assets Under Management)	$ 455,000,000

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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Advisor Monitoring

Firm Stability Insights

Roy L. Mattox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy Leonard Mattox's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROSPERITY WEALTH MANAGEMENT, INC.

UWHARRIE INVESTMENT ADVISORS, INC.

DARVAS INVESTMENT MANAGEMENT LLC

DARVAS INVESTMENT MANAGEMENT LLC

DARVAS INVESTMENT MANAGEMENT LLC

UBS FINANCIAL SERVICES INC.

A. G. EDWARDS & SONS, INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

INTEGRATED FINANCIAL STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/22/2010

Series 63

Date: 8/11/1987

Series 7

Date: 2/20/1988

Series 53

Date: 8/11/1987

Current Firm

INTEGRATED FINANCIAL STRATEGIES, LLC

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INTEGRATED FINANCIAL STRATEGIES, LLC

TRUST BUT VERIFY

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