SM
Stephen T. Mattar
SPC
TROY, MI 48098
Some features on this profile are disabled
CRD#: 2319876
SM
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Thomas Mattar'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®
NoneExperience
Current
May 2, 2011 - Present
SPC
Office #1: 5750 New King Street Suite 310, Troy, MI 48098RIA
CRD#: 110692
TROY, MI
Current
May 2, 2011 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 5750 New King Street Suite 310, Troy, MI 48098BD
CRD#: 14303
Troy, MI
Past
April 23, 2010 - May 5, 2011
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
TROY, MI
Past
August 7, 1997 - May 5, 2011
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
TROY, MI
Past
July 9, 1996 - August 6, 1997
MARINER FINANCIAL SERVICES, INC.
BD
CRD#: 8292
LARGO, FL
Past
April 14, 1993 - July 2, 1996
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
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 - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103
Mailing Address
Phone number
(734) 663-1611
Established
Firm type
Fiscal year end
# of Employees
462
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
