MM
Matthew J. Mascera
WORLD EQUITY GROUP
Westport, CT
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CRD#: 2628543
MM
Professional summary
Matthew Joseph Mascera is a registered financial advisor currently at WORLD EQUITY GROUP, INC. located in Westport, Connecticut.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Matthew has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Insurance Sales; Yes. Investment related; 1108 E Newport Center Dr, Deerfield Beach, FL 33442; Nature of OBA: Licensed as an Insurance agent for Life and Health to sell policies including Variable Annuities, Life Insurance, Long-Term Care Insurance and other related products; Posn/Title/Relationship: Agent; Start Date: 11/29/23; Approx. Hrs. /Month: 20 Hrs.; Hrs. during Trading Hrs.: 1 Hour; Duties: Find clients that have insurance needs and sell them the policies that align with their goals.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Joseph Mascera's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew Joseph Mascera'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®
NoneExperience
Current
September 13, 2023 - Present
WORLD EQUITY GROUP, INC.
RIA
BD
CRD#: 29087
Westport, CT
Current
July 7, 2023 - Present
WORLD EQUITY GROUP, INC.
Office #1: 425 N Martingale Road Suite 1220, Schaumburg, IL 60173RIA
BD
CRD#: 29087
Schaumburg, IL
Past
June 18, 2012 - August 6, 2015
B. RILEY SECURITIES, INC.
BD
CRD#: 25027
NEW YORK, NY
Past
October 29, 2004 - April 13, 2012
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
April 8, 2002 - November 1, 2004
UBS CAPITAL MARKETS L.P.
BD
CRD#: 2692
STAMFORD, CT
Past
May 21, 1998 - April 3, 2002
DEUTSCHE IXE, LLC
BD
CRD#: 7172
NEW YORK, NY
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".
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(9/13/2023)
RR
Connecticut(9/13/2023)
IAR
Connecticut(9/13/2023)
RR
Florida(9/13/2023)
IAR
Florida(9/21/2023)
RR
Georgia(9/13/2023)
IAR
Georgia(9/18/2023)
RR
Illinois(9/13/2023)
IAR
Illinois(9/13/2023)
RR
Maryland(10/2/2025)
IAR
Maryland(10/5/2025)
IAR
Massachusetts(9/27/2023)
RR
Michigan(9/13/2023)
RR
New Jersey(9/13/2023)
IAR
New Jersey(9/14/2023)
RR
New York(9/13/2023)
IAR
New York(9/13/2023)
RR
Ohio(10/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/7/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 8/24/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
425 N Martingale Road Suite 1220, Schaumburg, IL 60173
Mailing Address
425 N Martingale Road Suite 1200, Schaumburg, IL 60173
Phone number
(847) 342-1700
Established
Illinois since 09/13/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
170
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,151 |
| AUM (Assets Under Management) | $ 944,844,374 |
Disclosures
| Regulatory Event | 12 |
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.
