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JM

Joseph Mattei

FISHER\SMB
PLANO, TX 75093
Some features on this profile are disabled
CRD#: 1985316
JM

Professional summary

Joseph Mattei, who also goes by Joe Mattei, Joseph Richard Mattei, is a registered financial advisor currently at FISHER\SMB located in Plano, Texas.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Joseph has worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Joe Mattei | Joseph Richard Mattei

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) - RIA

Click below to view Joseph Mattei'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

April 14, 2026 - Present

FISHER\SMB

Office #1: 6404 International Parkway Suite 1100, Plano, TX 75093
RIA
CRD#: 331205
PLANO, TX
Past

October 10, 2024 - March 30, 2026

ALLWORTH FINANCIAL, L.P.

RIA
CRD#: 111167
ADDISON, TX
Past

November 13, 2023 - March 30, 2026

AW SECURITIES

BD
CRD#: 103747
ADDISON, TX
Past

September 25, 2013 - February 15, 2023

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
LEWISVILLE, TX
Past

March 9, 2009 - September 16, 2010

ADP BROKER-DEALER, INC.

BD
CRD#: 37693
ROSELAND, NJ
Past

January 1, 2008 - February 23, 2009

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
WESTLAKE, TX
Past

January 22, 2004 - January 1, 2008

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
WESTLAKE, TX
Past

June 5, 2003 - December 5, 2003

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
DALLAS, TX
Past

April 7, 2003 - December 5, 2003

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

September 18, 1991 - October 23, 2002

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

September 21, 1989 - September 16, 1991

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI

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".
FI
FISHER\SMB
FISHER RETIREMENT SOLUTIONS LLC | FISHER\SMB

CRD#: 331205 / SEC#: 801-130272

RIA
Registered Investment Advisory firm - (5/31/2024 Approved)

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
Texas
(4/14/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/9/2024
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/4/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/11/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/25/2013
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 2/25/1991
General Securities Representative Examination

Current Firm

FI
FISHER\SMB
FISHER RETIREMENT SOLUTIONS LLC | FISHER\SMB

CRD#: 331205 / SEC#: 801-130272

RIA
Registered Investment Advisory firm - (5/31/2024 Approved)
PREMIUM
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Contact information

Main Address
6404 International Parkway Suite 1100, Plano, TX 75093
Mailing Address
Phone number
(888) 674-4504
Established
Firm type
Fiscal year end
# of Employees
133

SEC notice filing (48 States and Territories)

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

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A (6/20/2025)

Regulatory assets under management

Total Number of Accounts1,768
AUM (Assets Under Management)$ 5,461,349,416

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

FISHER\SMB

CRD#: 331205Plano, TX 75093

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