Christopher S. Mattei
Professional summary
Christopher Shane Mattei was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Christopher is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Christopher had worked at 13 firms, which includes THINKEQUITY LLC, E1 ASSET MANAGEMENT INC., KALIN ASSOCIATES INC., GLENWOOD SECURITIES INC., CENTRADE SECURITIES CORP., SLL SECURITIES INC, R.J. MURPHY & ASSOCIATES LLC, KEVIN G. BOYLE SECURITIES INC., BOULDER SECURITIES CORP., R. J. MURPHY EXECUTIONS INC., MURPHEY MARSEILLES SMITH & NAMMACK INC., AMERICORP SECURITIES INC., CHATFIELD DEAN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2008 - February 13, 2009
THINKEQUITY LLC
July 2, 2007 - February 19, 2008
E1 ASSET MANAGEMENT, INC.
January 18, 2006 - July 2, 2007
KALIN ASSOCIATES, INC.
January 4, 2005 - January 10, 2006
GLENWOOD SECURITIES, INC.
December 17, 2004 - September 12, 2005
CENTRADE SECURITIES CORP.
November 24, 2003 - September 20, 2004
SLL SECURITIES INC
November 12, 2002 - January 24, 2003
SLL SECURITIES INC
October 29, 2001 - December 1, 2003
R.J. MURPHY & ASSOCIATES, LLC
June 4, 2001 - June 22, 2001
KEVIN G. BOYLE SECURITIES, INC.
January 30, 2001 - August 22, 2001
SLL SECURITIES INC
October 1, 2000 - January 11, 2001
BOULDER SECURITIES CORP.
October 1, 2000 - October 29, 2001
R. J. MURPHY EXECUTIONS, INC.
February 20, 1996 - March 26, 1997
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
September 28, 1993 - April 20, 1994
AMERICORP SECURITIES, INC.
September 21, 1993 - September 24, 1993
CHATFIELD DEAN & CO., 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
Series 25
Date: 9/23/1999
NYSE Trading Assistant ExaminationSeries 8
Date: 10/1/2000
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
THINKEQUITY LLC
CRD#: 20996 / SEC#: , 8-38622
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JAIGOBIND, RAMNARAIN JOSEPH JR | CHIEF EXECUTIVE OFFICER, GENERAL PRINCIPAL | 2273469 |
| FORDHAM HOLDING GROUP, INC. | SHAREHOLDER | |
| BAQUET, EDWARD MANUEL | OPTIONS PRINCIPAL | 4986983 |
| BAQUET, WILLIAM | GENERAL PRINCIPAL, PRESIDENT, DIRECTOR, SECRETARY, TREASURER, HEAD OF TRADING, NYSE GP, NYSE GS CHIEF OPERATING OFFICER | 1332676 |
| BOYLE, BRUCE | COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1796066 |
| CHOUDHARY, CHIRAG | HEAD OF EQUITY CAPITAL MARKETS AND INSTITUTIONAL SALES | 4534379 |
| GIORDANO, CHARLES FRANCIS | MANAGING DIRECTOR, GENERAL PRINCIPAL | 2124257 |
| HENDERSON, PHYLLIS ANNE | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, NYSE GP, NYSE GS | 1343053 |
| HILDER, DAVID BRUCE | SUPERVISORY ANALYST, RESEARCH PRINCIPAL | 2178978 |
| KRIM, ALAN MITCHELL | CFO, FINOP, NYSE FI | 2785337 |
| KUMAR, ASHOK | MANAGING DIRECTOR, RESEARCH | 2374960 |
| LORD, ERIC | HEAD OF INVESTMENT BANKING | 5232206 |
| MANCUSO, PETER VINCENT | MANAGING DIRECTOR, EQUITY TRADING, NYSE COMPLIANCE OFFICER, FLOOR SUPERVISOR | 2357435 |
| MANGAN, KEVIN ROBERT | MANAGING DIRECTOR, HEAD OF EQUITY SYNDICATE | 5365766 |
| MOHAMMED, SABRINA JASMINE | FINOP | 7151560 |
| QUARTUCCIO, PHILIP PAUL | MANAGING DIRECTOR, HEAD OF GLOBAL TRADING | 2397864 |
| ROTHBAUM, SCOTT | SUPERVISOR - SALES | 5237026 |
| SINGER, JEFFREY DAVID | HEAD OF DEBT CAPITAL MARKETS | 4829339 |
| SKOP, CRAIG MICHAEL | S-24 SUPERVISOR - CORPORATE ACCESS | 2301924 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
