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Stephen Thomas Mattar

SPC
TROY, MI
·CRD# 2319876·33 years experience

Professional Summary

Stephen Thomas Mattar is a registered financial advisor currently at SPC located in Troy, Michigan and SIGMA FINANCIAL CORPORATION located in Troy, Michigan. Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Stephen has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

33 years in the financial services industry

Current & Past Employments

SPC·CRD# 110692
RIA
5750 New King Street Suite 310, Troy, MI 48098
May 2, 2011 - Present
SIGMA FINANCIAL CORPORATION·CRD# 14303
BD
5750 New King Street Suite 310, Troy, MI 48098
May 2, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.·CRD# 2882
RIA
Troy, MI
April 23, 2010 - May 5, 2011
VOYA FINANCIAL ADVISORS, INC.·CRD# 2882
BD
Troy, MI
August 7, 1997 - May 5, 2011
MARINER FINANCIAL SERVICES, INC.·CRD# 8292
BD
Largo, FL
July 9, 1996 - August 6, 1997
NEW ENGLAND SECURITIES·CRD# 615
BD
New York, NY
April 14, 1993 - July 2, 1996

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Current Firm

SP
SPC

PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP

CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - SEC (1/11/1984 Approved)
Alaska
Registered Investment Advisory firm - Alaska (2/13/2002 Cancelled)
Arizona
Registered Investment Advisory firm - Arizona (2/14/2002 Terminated)
California
Registered Investment Advisory firm - California (1/17/2002 Cancelled)
Colorado
Registered Investment Advisory firm - Colorado (2/14/2002 Cancelled)
Delaware
Registered Investment Advisory firm - Delaware (2/14/2002 Terminated)
Hawaii
Registered Investment Advisory firm - Hawaii (3/19/2002 Terminated)
Montana
Registered Investment Advisory firm - Montana (2/12/2002 Terminated)
New Hampshire
Registered Investment Advisory firm - New Hampshire (2/14/2002 Terminated)
New Mexico
Registered Investment Advisory firm - New Mexico (2/14/2002 Terminated)
New York
Registered Investment Advisory firm - New York (1/17/2002 Cancelled)
Rhode Island
Registered Investment Advisory firm - Rhode Island (3/7/2002 Terminated)
Tennessee
Registered Investment Advisory firm - Tennessee (2/14/2002 Terminated)
Utah
Registered Investment Advisory firm - Utah (1/17/2002 Terminated)
Wisconsin
Registered Investment Advisory firm - Wisconsin (1/30/2002 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

300 Parkland Plaza, Ann Arbor, MI 48103

Phone Number

(734) 663-1611

# of Employees

471

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SPC FORM ADV BROCHURE (5/7/2026)

Regulatory Assets Under Management

Total Number of Accounts

26,433

AUM (Assets Under Management)

$6,102,465,817

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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.

1. INDEPENDENT INSURANCE AGENT, YES, 5750 NEW KING STREET, STE 310 TROY, MI 48098, FIXED INSURANCE SALES, INDEPENDENT INSURANCE AGENT, 01/27/2009, 120, 120, SALES OF FIXED INSURANCE PRODUCTS 2. CORPORATE BENEFITS SOLUTIONS LLC, YES, 5750 NEW KING STREET, STE 310 TROY, MI 48098, HEALTH AND WELFARE PRODUCTS, OWNER, 01/27/2009, 100, 100, SALES OF GROUP HEALTH AND WELFARE PRODUCTS AND HUMAN RESOURCE SOLUTIONS. 3. FINANCIAL GUARDIAN GROUP LLC, YES, 4600 COLLIDGE HWY ROYAL OAK MI 48068, SALES OF HEALTH AND WELFARE PRODUCTS, EMPLOYEE, 01/27/2009, NO, 0, NO DUTIES 4. MATTAR FINANCIAL CORPORATION,YES,5750 NEW KING STREET, STE 310 TROY, MI 48098, DBA NAME FOR SALES OF SECURITIES PRODUCTS,PRESIDENT--OWNER, 01/27/2009, 100, 100, SALES OF SECURITIES PRODUCTS 5. Board member - The Furniture Bank of MI, Pontiac, MI. Non-profit organization that helps the less fortunate obtain furniture for their homes. Start date: 8/1/23 for a 2 year term. Approx. 2 hrs/mo, none during mkt hrs. INV REL: N

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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".
SP
SPC

PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP

CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - SEC (1/11/1984 Approved)
Alaska
Registered Investment Advisory firm - Alaska (2/13/2002 Cancelled)
Arizona
Registered Investment Advisory firm - Arizona (2/14/2002 Terminated)
California
Registered Investment Advisory firm - California (1/17/2002 Cancelled)
Colorado
Registered Investment Advisory firm - Colorado (2/14/2002 Cancelled)
Delaware
Registered Investment Advisory firm - Delaware (2/14/2002 Terminated)
Hawaii
Registered Investment Advisory firm - Hawaii (3/19/2002 Terminated)
Montana
Registered Investment Advisory firm - Montana (2/12/2002 Terminated)
New Hampshire
Registered Investment Advisory firm - New Hampshire (2/14/2002 Terminated)
New Mexico
Registered Investment Advisory firm - New Mexico (2/14/2002 Terminated)
New York
Registered Investment Advisory firm - New York (1/17/2002 Cancelled)
Rhode Island
Registered Investment Advisory firm - Rhode Island (3/7/2002 Terminated)
Tennessee
Registered Investment Advisory firm - Tennessee (2/14/2002 Terminated)
Utah
Registered Investment Advisory firm - Utah (1/17/2002 Terminated)
Wisconsin
Registered Investment Advisory firm - Wisconsin (1/30/2002 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Florida
(5/2/2011)
RR
Indiana
(1/18/2023)
RR
Michigan
(5/2/2011)
IAR
Michigan
(5/2/2011)
RR
New York
(3/3/2023)
RR
North Carolina
(5/2/2019)
RR
Ohio
(5/3/2011)
RR
Washington
(10/20/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1993About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Apr 1993About the Series 6 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Stephen Thomas Mattar's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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