Sonja B. Mathis
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.
Sonja Bonita Mathis was a registered financial professional .
Sonja is a previously registered financial professional and started their career in finance in 1995. Sonja had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2011 - August 2, 2012
COLLATERAL FINANCIAL ADVISORS, LLC
April 22, 2002 - September 16, 2010
VERITRUST FINANCIAL, LLC
October 2, 1998 - April 22, 2002
ARAGON FINANCIAL SERVICES, INC.
May 23, 1996 - September 14, 1998
LINCOLN INVESTMENT
February 12, 1996 - May 23, 1996
THE ADVISORS GROUP, INC.
January 3, 1995 - February 13, 1995
NYLIFE SECURITIES LLC
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
Current Firm
COLLATERAL FINANCIAL ADVISORS, LLC
CRD#: 154577 / SEC#:
Contact information
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.
