Steven Vincent Mattus
Professional Summary
Steven Vincent Mattus, who also goes by Steven Mattus, is a registered financial advisor currently at SIGFIG WEALTH MANAGEMENT LLC located in Fairfield, Connecticut. Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Steven has worked at 7 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 3, Series 7, Series 4, Series 24, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Biography
At UBS, Credit Suisse and Deutsche Bank, I have built and led highly effective and diverse investment sales, due diligence, trading, portfolio construction, investment advisory, alternative investments, insured solutions, structured products, and wealth planning teams who partner with the industry’s leading FAs to advise America’s wealthiest families. At UBS, we have led the industry with innovative and forward-thinking initiatives, including SMA Advantage, average daily balance billing for fee-based relationships, single share class, non-traded REITs and...
Other Aliases
Steven Mattus
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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
31 years registered in the securities industry
Current & Past Employments
Current
Past
Education
Iona University
Finance, MBA
Finance, MBA
1994
SUNY Geneseo
Economics, BA
Economics, BA
1992
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Current Firm
SIG FIG WEALTH MANAGEMENT LLC | SIGFIG WEALTH MANAGEMENT LLC
Contact Information
Main Address
2443 Fillmore Street Suite 380-1512, San Francisco, CA 94115Phone Number
(855) 974-4344# of Employees
96SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
106,361AUM (Assets Under Management)
$3,580,832,476Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/26/2026 | Cover Page | Report |
| 07/29/2025 | Cover Page | Report |
| 08/27/2024 | Cover Page | Report |
| 10/30/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
SIG FIG WEALTH MANAGEMENT LLC | SIGFIG WEALTH MANAGEMENT LLC
State Registrations and Notice Filings
(9/5/2023)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Oct 1999About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Oct 1999About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Steven Vincent Mattus's CRS (Customer Relationship Summary).
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