Nadine A. Mattis
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.
Nadine Alethea Mattis, who also goes by Nadine Althea Knox, Nadine A Mattis, was a registered financial professional .
Nadine is a previously registered financial professional and started their career in finance in 2008. Nadine had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2014 - April 9, 2015
AVENIR FINANCIAL GROUP
May 20, 2010 - June 17, 2014
JOHN CARRIS INVESTMENTS LLC
July 15, 2008 - May 28, 2010
CHARLES MORGAN SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
AVENIR FINANCIAL GROUP
CRD#: 148490 / SEC#: , 8-68031
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
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.
