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Carolyn B. Mathis

HARBOR VIEW ADVISORS
Neptune Beach, FL 32266
Some features on this profile are disabled
CRD#: 1785632
CM

Professional summary

Carolyn Buff Mathis, who also goes by Carolyn Nissley Buff, Carolyn Nissley Mathis, is a registered financial professional currently at HARBOR VIEW ADVISORS, LLC located in Neptune Beach, Florida.

Carolyn is registered as a RR (Registered Representative) and started their career in finance in 1993. Carolyn has worked at 2 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 62, SIE, Series 7, Series 3, Series 14, Series 28 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carolyn Nissley Buff | Carolyn Nissley Mathis

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) - BD

Click below to view Carolyn Buff Mathis'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®
None

Experience

Current

October 8, 2010 - Present

HARBOR VIEW ADVISORS, LLC

Office #1: 310 3rd Street Suite 201, Neptune Beach, FL 32266
BD
CRD#: 151817
Neptune Beach, FL
Past

May 14, 1998 - February 18, 2005

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

September 8, 1993 - April 30, 1997

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(11/15/2010)
RR
Illinois
(10/29/2013)
RR
New York
(10/13/2010)

Exams

State Security Law Exam
RR
Series 63
Date: 12/1/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/12/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 6/23/1994
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 28
Date: 6/18/2010
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/6/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HV
HARBOR VIEW ADVISORS, LLC
HARBOR VIEW ADVISORS, LLC | HVA SECURITIES, LLC

CRD#: 151817 / SEC#: , 8-68401

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
310 3rd Street Suite 201, Neptune Beach, FL 32266
Mailing Address
310 3rd Street Suite 201, Neptune Beach, FL 32266
Phone number
(904) 285-4278
Established
Florida since 07/15/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HVA HOLDINGS, LLCMEMBER
COLLINS, ELIZABETH SARAHFINOP4714831
MATHIS, CAROLYN BUFFCEO, CFO, CCO1785632
MATHIS, JOHN KENNETHPARTNER4145947

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.

Company Information

HARBOR VIEW ADVISORS, LLC

CRD#: 151817Neptune Beach, FL 32266

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