Catherine Diaz-matassov

MAREX CAPITAL MARKETS

New York, NY 10017

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CRD#: 1828683

Professional summary

Catherine Diaz-matassov, who also goes by Catherine Diaz, Catherine Diaz Matassov, Catherine Diazmatassov, is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in New York, New York.

Catherine is registered as a RR (Registered Representative) and started their career in finance in 2001. Catherine has worked at 6 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Catherine Diaz | Catherine Diaz Matassov | Catherine Diazmatassov

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 Catherine Diaz-matassov'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

September 9, 2025 - Present

MAREX CAPITAL MARKETS INC.

Office #1: 140 East 45th Street 10th Floor, New York, NY 10017

CRD#: 161014

New York, NY

Past

March 6, 2023 - January 21, 2025

VELOCITY CLEARING, LLC

CRD#: 126588

New York, NY

Past

August 12, 2022 - December 9, 2022

CLEAR STREET LLC

CRD#: 288933

NEW YORK, NY

Past

September 29, 2011 - June 25, 2022

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

May 3, 2011 - September 12, 2011

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

June 18, 2001 - March 27, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

State Registrations and Notice Filings

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

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

New York
(9/9/2025)

Exams

State Security Law Exam

Series 63

Date: 5/26/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/16/2001

General Securities Representative Examination

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

MAREX CAPITAL MARKETS INC.

E D & F MAN CAPITAL MARKETS INC. | MPS | MAREX CAPITAL MARKETS INC.

CRD#: 161014 / SEC#: , 8-69039

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

140 East 45th Street 10th Floor, New York, NY 10017

Mailing Address

140 East 45th Street 10th Floor, New York, NY 10017

Phone number

(212) 618-2800

Established

New York since 01/10/1952

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
MAREX SERVICES INC.	DIRECT OWNER
BATES, CHRISTOPHER	FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR	5648556
BERNICKY, JENNIFER KAISER	CHIEF OPERATING OFFICER, DIRECTOR	4781625
CHERRY, ELIN LYNNE	CHIEF COMPLIANCE OFFICER	2430837
FALCO, CARMINE DOMENICO	PRINCIPAL OPERATIONS OFFICER	2782798
HOOD, STEPHEN MICHAEL	DIRECTOR	3139127
VITTAL, MAHESH RAM	PRES. & CEO, DIRECTOR	4593014

Disclosures

Regulatory Event

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

Catherine Diaz-matassov

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Catherine Diaz-matassov's CRS (Customer Relationship Summary).

Certified licenses

Experience

VELOCITY CLEARING, LLC

CLEAR STREET LLC

J.P. MORGAN SECURITIES LLC

PERSHING LLC

MORGAN STANLEY & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/26/2012

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/16/2001

Cboe C2 Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

Current Firm

MAREX CAPITAL MARKETS INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MAREX CAPITAL MARKETS INC.

TRUST BUT VERIFY

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