Jose A. Mata
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.
Jose Alberto Mata, CFP® was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 1988. Jose had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2015
Experience
August 22, 2016 - November 25, 2022
LPL FINANCIAL LLC
August 18, 2016 - November 25, 2022
LPL FINANCIAL LLC
May 19, 2016 - July 26, 2016
NYLIFE SECURITIES LLC
December 2, 2013 - April 4, 2016
FIFTH THIRD SECURITIES, INC.
November 26, 2013 - April 4, 2016
FIFTH THIRD SECURITIES, INC.
May 29, 2007 - December 9, 2013
LPL FINANCIAL LLC
May 25, 2007 - December 9, 2013
LPL FINANCIAL LLC
March 17, 2005 - June 5, 2007
WELLS FARGO CLEARING SERVICES, LLC
March 7, 2005 - June 5, 2007
WELLS FARGO CLEARING SERVICES, LLC
November 9, 2004 - March 3, 2005
CITICORP INVESTMENT SERVICES
July 24, 2002 - March 3, 2005
CITICORP INVESTMENT SERVICES
July 17, 2002 - July 26, 2002
WELLS FARGO CLEARING SERVICES, LLC
June 17, 2002 - July 26, 2002
WELLS FARGO CLEARING SERVICES, LLC
August 28, 1999 - June 17, 2002
CITICORP INVESTMENT SERVICES
November 30, 1998 - June 3, 1999
REFCO SECURITIES, LLC
February 13, 1995 - March 31, 1998
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
August 25, 1988 - June 10, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
