RM
Roy L. Mattox
PROSPERITY WEALTH MANAGEMENT
Matthews, NC
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CRD#: 1729009
RM
Roy Leonard MattoxPROSPERITY WEALTH MANAGEMENT
Professional summary
Roy Leonard Mattox, who also goes by Roy Mattox, is a registered financial advisor currently at PROSPERITY WEALTH MANAGEMENT, INC. located in Matthews, 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.
At a Glance
Always Fiduciary
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.
(1.) Exodus Wealth, LLC.; Investment Related Advisory Firm; Charlotte, NC; Investment Adviser Representative; February 2026; Approximately 50 hours/week, 35hours during trading hours per week; constructing a portfolio of individual stocks and ETFs managed to grow client assets. Co-portfolio manager for diversified model portfoliosbased on client-specific risk tolerance. (2.) Integrated Financial Strategies, LLC; Investment Related Advisory Firm; Charlotte, NC; Investment Adviser Representative; April 2020Started; Approximately 50 hours/week, Approximately 35 hours during trading hours per week
CRS (Client Relationship Summary) - RIA
Click below to view Roy Leonard Mattox'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®
NoneExperience
Current
June 26, 2026 - Present
PROSPERITY WEALTH MANAGEMENT, INC.
RIA
CRD#: 174328
Matthews, NC
Past
May 5, 2020 - July 31, 2026
INTEGRATED FINANCIAL STRATEGIES, LLC
RIA
CRD#: 165007
Matthews, 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.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
October 3, 1988 - February 27, 1995
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
March 24, 1988 - October 8, 1988
CITIGROUP GLOBAL MARKETS INC.
BD
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".
PW
PROSPERITY WEALTH MANAGEMENT, INC.
21ST CENTURY WEALTH & INSURANCE SERVICES | WURZ FINANCIAL SERVICES | WISE WEALTH ASSET MANAGEMENT | TIMES FINANCIAL PLANNERS | THE ONE HOUR TAX MANAGER | THE O'BRIEN GROUP | SYMMETRY WEALTH MANAGEMENT | STEWART FINANCIAL SERVICES | SNYDER WEALTH ADVISORS, LLC | SINCLAIR FINANCIAL SOLUTIONS | SINCLAIR FINANCIAL SERVICES | RETIREMENT SOLUTIONS | RETIREMENT INCOME ADVISORS, LLC | PULLEY INSURANCE & FINANCIAL SERVICES | PROSPERITY WEALTH MANAGEMENT, INC. | PIVOTAL FINANCIAL | MEO WEALTH MANAGEMENT | MCMILLION FINANCIAL GROUP LLC | MC2 WEALTH PLANNING, LLC | MARK YOUNG AND ASSOCIATES | MARK YOUNG & ASSOCIATES | LIND FINANCIAL SERVICES | LIFE-WORK PLANNING CORPORATION | LIFE GOALS FINANCIAL | JOELLE GROUP | INTERSTATE FINANCIAL SERVICES, INC. | INTEGRITY FINANCIAL | HUB INT'L | HIGHLAND CAPITAL FINANCIAL CONSULTING LLC | HECKER ADVISORY GROUP, INC. | GRUCCI AND ASSOCIATES, INC. | GRUCCI & ASSOCIATES | GOLDEN TRIANGLE FINANCIAL SERVICES | FORTUNE FINANCIAL SERVICES | FLORES FINANCIAL | FINANCIAL VISIONS GROUP | FINANCIAL VISION GROUP | EZZY FINANCIAL SERVICES, LLC | ETHEREDGE INSURANCE, LLC | DIVERSIFIED WEALTH MANAGEMENT, INC. | DIGNITY TAX SERVICES | CHANGING TIMES FINANCIAL PLANNERS | CAPITAL COMPANIES | C.M. CARRILLO FINANCIAL ADVISING | BUCKEYE TAX AND FINANCIAL SERVICES, INC. | BUCKET LIST PLANNING | ADVANCED FINANCIAL PARTNERS | ABRAMOVITZ WEALTH MANAGEMENT | 417 INSURANCE & INVESTMENTS
CRD#: 174328 / SEC#: 801-101485
RIA
Registered Investment Advisory firm - (7/14/2015 Approved)California
Registered Investment Advisory firm - (8/14/2015 Terminated)Georgia
Registered Investment Advisory firm - (7/27/2015 Terminated)Illinois
Registered Investment Advisory firm - (7/14/2015 Terminated)Minnesota
Registered Investment Advisory firm - (7/15/2015 Terminated)North Carolina
Registered Investment Advisory firm - (7/15/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/16/2015 Terminated)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(6/26/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
PW
PROSPERITY WEALTH MANAGEMENT, INC.
21ST CENTURY WEALTH & INSURANCE SERVICES | WURZ FINANCIAL SERVICES | WISE WEALTH ASSET MANAGEMENT | TIMES FINANCIAL PLANNERS | THE ONE HOUR TAX MANAGER | THE O'BRIEN GROUP | SYMMETRY WEALTH MANAGEMENT | STEWART FINANCIAL SERVICES | SNYDER WEALTH ADVISORS, LLC | SINCLAIR FINANCIAL SOLUTIONS | SINCLAIR FINANCIAL SERVICES | RETIREMENT SOLUTIONS | RETIREMENT INCOME ADVISORS, LLC | PULLEY INSURANCE & FINANCIAL SERVICES | PROSPERITY WEALTH MANAGEMENT, INC. | PIVOTAL FINANCIAL | MEO WEALTH MANAGEMENT | MCMILLION FINANCIAL GROUP LLC | MC2 WEALTH PLANNING, LLC | MARK YOUNG AND ASSOCIATES | MARK YOUNG & ASSOCIATES | LIND FINANCIAL SERVICES | LIFE-WORK PLANNING CORPORATION | LIFE GOALS FINANCIAL | JOELLE GROUP | INTERSTATE FINANCIAL SERVICES, INC. | INTEGRITY FINANCIAL | HUB INT'L | HIGHLAND CAPITAL FINANCIAL CONSULTING LLC | HECKER ADVISORY GROUP, INC. | GRUCCI AND ASSOCIATES, INC. | GRUCCI & ASSOCIATES | GOLDEN TRIANGLE FINANCIAL SERVICES | FORTUNE FINANCIAL SERVICES | FLORES FINANCIAL | FINANCIAL VISIONS GROUP | FINANCIAL VISION GROUP | EZZY FINANCIAL SERVICES, LLC | ETHEREDGE INSURANCE, LLC | DIVERSIFIED WEALTH MANAGEMENT, INC. | DIGNITY TAX SERVICES | CHANGING TIMES FINANCIAL PLANNERS | CAPITAL COMPANIES | C.M. CARRILLO FINANCIAL ADVISING | BUCKEYE TAX AND FINANCIAL SERVICES, INC. | BUCKET LIST PLANNING | ADVANCED FINANCIAL PARTNERS | ABRAMOVITZ WEALTH MANAGEMENT | 417 INSURANCE & INVESTMENTS
CRD#: 174328 / SEC#: 801-101485
RIA
Registered Investment Advisory firm - (7/14/2015 Approved)California
Registered Investment Advisory firm - (8/14/2015 Terminated)Georgia
Registered Investment Advisory firm - (7/27/2015 Terminated)Illinois
Registered Investment Advisory firm - (7/14/2015 Terminated)Minnesota
Registered Investment Advisory firm - (7/15/2015 Terminated)North Carolina
Registered Investment Advisory firm - (7/15/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/16/2015 Terminated)Loading...
Contact information
Main Address
2333 San Ramon Valley Blvd. Suite 200, San Ramon, CA 94583
Mailing Address
Phone number
(925) 791-4444
Established
Firm type
Fiscal year end
# of Employees
51
SEC notice filing (29 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,832 |
| AUM (Assets Under Management) | $ 442,192,443 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
