Richard J. Mattera

TERRANOVA CAPITAL EQUITIES,

New York, NY 10170

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CRD#: 2246513

Professional summary

Richard Joseph Mattera, who also goes by Richard Joseph Mattera, is a registered financial professional currently at TERRANOVA CAPITAL EQUITIES, INC located in New York, New York and GORDON DYAL & CO., LLC located in New York, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1999. Richard has worked at 42 firms and has passed the Series 99TO, SIE and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Richard Joseph Mattera

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 Richard Joseph Mattera'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

October 11, 2006 - Present

TERRANOVA CAPITAL EQUITIES, INC

Office #1: 420 Lexington Avenue Suite 1402, New York, NY 10170

CRD#: 45097

New York, NY

Current

September 14, 2016 - Present

GORDON DYAL & CO., LLC

Office #1: 152 West 57th Street 39th Floor, New York, NY, 10019

CRD#: 284175

New York, NY

Current

June 6, 2017 - Present

MCM SECURITIES LLC

Office #1: 300 Jordan Road, Troy, NY 12180

CRD#: 41571

TROY, NY

Current

October 11, 2018 - Present

BATES SECURITIES, INC.

Office #1: 8437 Northern Ave, Rockford, IL 61107Office #2: 8437 Northern Ave, Rockford, IL 61107

CRD#: 10759

Rockford, IL

Current

March 17, 2020 - Present

CBRE CAPITAL ADVISORS, INC.

Office #1: 2100 Mckinney Avenue Suite 900, Dallas, TX 75201Office #2: 2121 N. Pearl Street Suite 300, Dallas, TX 75201

CRD#: 140565

Dallas, TX

Current

May 18, 2021 - Present

UNEST SECURITIES, LLC

Office #1: 221 S. 2nd Street, Laramie, WY 82070

CRD#: 309955

LARAMIE, WY

Current

July 22, 2024 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 8540 Colonnade Center Drive, Raleigh, NC 27615

RIA

CRD#: 44430

RALEIGH, NC

Current

September 17, 2024 - Present

SGP SECURITIES, LLC

Office #1: 31 Hudson Yards 11th Floor, New York, NY, 10001

CRD#: 328824

NEW YORK, NY

Current

October 10, 2024 - Present

BRANT STREET CAPITAL INC.

Office #1: 130 King Street West Suite 2600, Toronto, Ontario, M5X 1C7

CRD#: 322862

TORONTO, ONTARIO,

Current

May 29, 2025 - Present

CP CLIENT SOLUTIONS LLC

Office #1: 321 Broadway 5th Floor, Saratoga Springs, NY 12866

CRD#: 330402

SARATOGA SPRINGS, NY

Past

February 24, 2023 - September 11, 2024

CURVATURE SECURITIES LLC

CRD#: 169708

CHATHAM, NJ

Past

September 8, 2022 - January 4, 2024

SOCIAL INVSTR

CRD#: 309923

SAN ANTONIO, TX

Past

November 16, 2021 - August 24, 2022

LESTE USA

CRD#: 301289

MIAMI, FL

Past

July 2, 2020 - December 31, 2023

SVB INVESTMENT SERVICES INC.

CRD#: 168116

SAN FRANCISCO, CA

Past

March 13, 2019 - January 21, 2025

FM (USA), LLC

CRD#: 298346

NEW YORK, NY

Past

July 10, 2017 - August 10, 2018

EMBONDS INC.

CRD#: 285417

NEW YORK, NY

Past

December 1, 2016 - December 31, 2020

EQUATEX US INC

CRD#: 178524

NEW YORK, NY

Past

September 22, 2016 - September 3, 2019

SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK

CRD#: 46902

SAN FRANCISCO, CA

Past

August 1, 2016 - April 22, 2024

TORNADO

CRD#: 269966

NEW YORK, NY

Past

July 29, 2016 - November 13, 2020

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

LOUISVILLE, KY

Past

May 9, 2016 - June 29, 2020

ASCENT CAPITAL ADVISORS (AMERICA) LLC

CRD#: 226540

WESTPORT, CT

Past

April 7, 2016 - June 15, 2017

ATREYU TRADING

CRD#: 175371

New York, NY

Past

February 26, 2015 - June 1, 2016

USTOCKTRADE SECURITIES, INC.

CRD#: 16208

NEWTON, MA

Past

January 20, 2015 - February 3, 2016

TRC MARKETS LLC

CRD#: 171272

MOUNT PLEASANT, SC

Past

August 14, 2014 - May 9, 2016

RABO SECURITIES USA, INC.

CRD#: 122657

NEW YORK, NY

Past

June 26, 2014 - March 24, 2020

LAMPE CAPITAL NORTH AMERICA LLC

CRD#: 160477

NEW YORK, NY

Past

May 27, 2014 - May 6, 2021

CATALYTIC CAPITAL, LLC

CRD#: 168869

PURCHASE, NY

Past

May 19, 2014 - June 9, 2023

SAMSUNG SECURITIES (AMERICA), INC.

CRD#: 43432

NEW YORK, NY

Past

May 2, 2014 - February 3, 2016

LATOUR TRADING LLC

CRD#: 150887

NEW YORK, NY

Past

April 7, 2014 - October 2, 2014

MERCARI CROSSING LLC

CRD#: 164974

NEW YORK, NY

Past

October 4, 2013 - January 28, 2019

GLOBAL VENTURES CAPITAL, LLC

CRD#: 167018

NEW YORK, NY

Past

November 20, 2012 - January 31, 2014

CRITO CAPITAL LLC

CRD#: 161724

WESTPORT, CT

Past

August 8, 2012 - October 24, 2012

SSR LLC

CRD#: 151448

STAMFORD, CT

Past

January 25, 2012 - February 7, 2014

IATMARKETS LLC

CRD#: 104312

NEW YORK, NY

Past

January 19, 2012 - December 5, 2012

MARWOOD GROUP RESEARCH

CRD#: 147316

NEW YORK, NY

Past

November 9, 2011 - June 6, 2016

FULCRUM CAPITAL MARKETS LLC

CRD#: 155634

AUSTIN, TX

Past

November 10, 2009 - February 25, 2015

MONDIALE SECURITIES, LLC

CRD#: 150323

NEW YORK, NY

Past

March 17, 2009 - March 30, 2009

RESRV PARTNERS, INC.

CRD#: 10273

NEW YORK, NY

Past

December 16, 2005 - April 13, 2011

MARWOOD ALTERNATIVE ASSET MANAGEMENT LLC

CRD#: 134039

NEW YORK, NY

Past

July 11, 2002 - March 4, 2011

C3 CAPITAL, LLC

CRD#: 119155

NEW YORK, NY

Past

May 22, 2002 - December 5, 2012

MARWOOD GROUP

CRD#: 117015

NEW YORK, NY

Past

February 16, 2001 - April 9, 2002

JDA VENTURES CORPORATION

CRD#: 104340

NEW YORK, NY

Past

October 19, 1999 - April 22, 2003

TERRANOVA CAPITAL EQUITIES, INC

CRD#: 45097

NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 1/2/2023

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 27

Date: 5/27/1992

Financial and Operations Principal Examination

SRO Registrations

FINRA

Current Firm

CP CLIENT SOLUTIONS LLC

CRD#: 330402 / SEC#: , 8-71277

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

321 Broadway 5th Floor, Saratoga Springs, NY 12866

Mailing Address

321 Broadway 5th Floor, Saratoga Springs, NY 12866

Phone number

(212) 850-4260

Established

Delaware since 04/24/2024

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (15 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CP CLIENT SOLUTIONS HOLDINGS LLC	MEMBER
HILLS, ADAM	CHIEF EXECUTIVE OFFICER	7236104
MATTERA, RICHARD	FINOP	2246513
PROSTICK, ARTHUR ISOM	CHIEF COMPLIANCE OFFICER	2254400

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

Richard J. Mattera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Joseph Mattera's CRS (Customer Relationship Summary).

Certified licenses

Experience

GORDON DYAL & CO., LLC

MCM SECURITIES LLC

BATES SECURITIES, INC.

CBRE CAPITAL ADVISORS, INC.

UNEST SECURITIES, LLC

FIRST CITIZENS INVESTOR SERVICES, INC.

SGP SECURITIES, LLC

BRANT STREET CAPITAL INC.

CP CLIENT SOLUTIONS LLC

CURVATURE SECURITIES LLC

SOCIAL INVSTR

LESTE USA

SVB INVESTMENT SERVICES INC.

FM (USA), LLC

EMBONDS INC.

EQUATEX US INC

SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK

TORNADO

PRIVATE CLIENT SERVICES, LLC

ASCENT CAPITAL ADVISORS (AMERICA) LLC

ATREYU TRADING

USTOCKTRADE SECURITIES, INC.

TRC MARKETS LLC

RABO SECURITIES USA, INC.

LAMPE CAPITAL NORTH AMERICA LLC

CATALYTIC CAPITAL, LLC

SAMSUNG SECURITIES (AMERICA), INC.

LATOUR TRADING LLC

MERCARI CROSSING LLC

GLOBAL VENTURES CAPITAL, LLC

CRITO CAPITAL LLC

SSR LLC

IATMARKETS LLC

MARWOOD GROUP RESEARCH

FULCRUM CAPITAL MARKETS LLC

MONDIALE SECURITIES, LLC

RESRV PARTNERS, INC.

MARWOOD ALTERNATIVE ASSET MANAGEMENT LLC

C3 CAPITAL, LLC

MARWOOD GROUP

JDA VENTURES CORPORATION

TERRANOVA CAPITAL EQUITIES, INC

State Registrations and Notice Filings

Exams

Series 99TO

Date: 1/2/2023

SIE

Date: 1/2/2023

Series 27

Date: 5/27/1992

FINRA

Current Firm

CP CLIENT SOLUTIONS LLC

Contact information

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CP CLIENT SOLUTIONS LLC

TRUST BUT VERIFY

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