Steven V. Mattus
SIGFIG WEALTH MANAGEMENT LLC | Global Executive Leader, Wealth Management Investment Products and Solutions
Fairfield, CT
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CRD#: 2398166
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.
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 the launch of Inclusive Investment Solutions.
Reporting to Global Co-President of Wealth Management, I led the investment product, advisory, wealth planning and sales organization ($6B+ annual revenue) responsible for servicing 6000 FAs and $1.5T+ client assets. Key focus is program & platform transformation delivering next gen FA and client experience. Member, UBS GWM Global MC, Americas MC and Global CIO MC. Member, UBS Financial Services, Inc. Board of Directors; Member, Money Management Institute Board of Directors; Member, Advisory Board to SigFig.
Prior to joining UBS in August 2019, I was Managing Director and Head of Global Products and Solutions Americas at Deutsche Bank. Prior to that I spent over 20 years at Credit Suisse where I held a number of senior management positions, including Head of Private Banking Assets & Investments for the Americas.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven Mattus
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.
NAME OF OTHER BUSINESS: Money Management Institute (MMI) / INVESTMENT RELATED?: Yes / ADDRESS: P.O. Box 3239, NY, NY / NATURE OF THE BUSINESS: The industry association representing financial services firms that provide financial advice and professionally-managed investment advisory solutions to investors. / POSITION: I will join the Investment Committee of MMI (in addition to my role as a Board Member) with responsibility for non-fiduciary oversight of a small (<$1mm) investment portfolio; also serve as Board Member / DUTIES: UBS benefits from having board representation; it is customary and our competitors all send representatives as well; this role can be viewed as part of my obligations as a Board Member / START DATE: 5-4-2022/ HOURS DEVOTED TO BUSINESS: NA
CRS (Client Relationship Summary) - RIA
Click below to view Steven Vincent Mattus'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®
NoneEducation
Iona University
MBA - Finance
1994
SUNY Geneseo
BA - Economics
1992
Experience
Current
September 5, 2023 - Present
SIGFIG WEALTH MANAGEMENT LLC
RIA
CRD#: 158823
Fairfield, CT
Past
August 23, 2019 - March 27, 2023
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
Weehawken, NJ
Past
August 16, 2019 - March 27, 2023
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 27, 2018 - July 29, 2019
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
NEW YORK, NY
Past
July 21, 2016 - July 29, 2019
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
June 25, 2008 - June 24, 2016
CREDIT SUISSE SECURITIES (USA) LLC
RIA
CRD#: 816
NEW YORK, NY
Past
June 23, 2008 - June 24, 2016
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
March 21, 2006 - June 25, 2008
LEUCADIA ASSET MANAGEMENT LLC
RIA
CRD#: 121767
NEW YORK, NY
Past
March 21, 2006 - June 25, 2008
JEFFERIES LLC
BD
CRD#: 2347
NEW YORK, NY
Past
November 20, 2003 - March 21, 2006
CREDIT SUISSE SECURITIES (USA) LLC
RIA
CRD#: 816
NEW YORK, NY
Past
January 17, 2003 - March 21, 2006
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
October 5, 1995 - January 17, 2003
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
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".
SW
SIGFIG WEALTH MANAGEMENT LLC
SIG FIG WEALTH MANAGEMENT LLC | SIGFIG WEALTH MANAGEMENT LLC
CRD#: 158823 / SEC#: 801-72762
RIA
Registered Investment Advisory firm - (10/31/2011 Approved)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.Highlighted states indicate IAR registrations
IAR
Connecticut(9/5/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
SW
SIGFIG WEALTH MANAGEMENT LLC
SIG FIG WEALTH MANAGEMENT LLC | SIGFIG WEALTH MANAGEMENT LLC
CRD#: 158823 / SEC#: 801-72762
RIA
Registered Investment Advisory firm - (10/31/2011 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2443 Fillmore Street Suite 380-1512, San Francisco, CA 94115
Mailing Address
Phone number
(855) 974-4344
Established
Firm type
Fiscal year end
# of Employees
125
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 93,977 |
| AUM (Assets Under Management) | $ 2,972,742,497 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2025 | ||
| 08/27/2024 | ||
| 10/30/2023 | ||
| 11/22/2022 |
Red Flags
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Company Information
SIGFIG WEALTH MANAGEMENT LLC
Global Executive Leader, Wealth Management Investment Products and SolutionsCRD#: 158823Fairfield, CTTRUST BUT VERIFY
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