Louis R. Matta
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.
Louis Richard Matta, who also goes by Lou Matta, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1993. Louis had worked at 8 firms and has passed the Series 66, Series 63, Series 7, Series 6 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
Experience
November 6, 2010 - August 10, 2012
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 2, 2009 - February 12, 2010
PRUCO SECURITIES, LLC.
June 5, 2006 - October 8, 2008
ALLSTATE FINANCIAL SERVICES, LLC
March 15, 2002 - June 6, 2006
WADDELL & REED
February 28, 2002 - June 6, 2006
WADDELL & REED
March 14, 2001 - October 31, 2001
BAIRD MANAGEMENT CORPORATION
October 7, 1999 - June 12, 2000
VERAVEST INVESTMENTS, INC.
June 9, 1994 - June 9, 1999
CUNA BROKERAGE SERVICES, INC.
April 1, 1993 - June 2, 1994
PRINCIPAL SECURITIES, INC.
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
NATIONWIDE INVESTMENT SERVICES CORPORATION
CRD#: 7110 / SEC#: , 8-20254
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONWIDE LIFE INSURANCE COMPANY | SHAREHOLDER | |
| AMBROZY, TINA S | PRESIDENT/BOARD DIRECTOR | 3149224 |
| HAWLEY, CRAIG ALAN | BOARD DIRECTOR | 4499105 |
| RABENSTINE, JAMES JAY | CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD DIRECTOR | 5250338 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
