Paul Mattaliano
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Paul Mattaliano was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1994. Paul had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2021 - July 15, 2026
SEAPORT GLOBAL SECURITIES LLC
September 14, 2016 - November 5, 2020
COMPASS POINT RESEARCH & TRADING, LLC
October 22, 2015 - August 24, 2016
JANNEY MONTGOMERY SCOTT LLC
March 5, 2013 - November 6, 2015
COMPASS POINT RESEARCH & TRADING, LLC
August 22, 2000 - November 30, 2011
KEEFE, BRUYETTE & WOODS, INC.
October 27, 1994 - February 7, 1995
NOMURA SECURITIES INTERNATIONAL, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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