Joseph L. Mattiello

FIRST MANHATTAN SECURITIES LLC

New York, NY 10022

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CRD#: 2785075

Professional summary

Joseph Leonard Mattiello is a registered financial professional currently at FIRST MANHATTAN SECURITIES LLC located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1996. Joseph has worked at 3 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Leonard Mattiello's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 17, 2021 - Present

FIRST MANHATTAN SECURITIES LLC

Office #1: 399 Park Avenue, New York, NY 10022

CRD#: 1845

New York, NY

Past

February 21, 1997 - January 20, 2021

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

September 9, 1996 - January 27, 1997

SUPPES SECURITIES, INC.

CRD#: 13722

NYC, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New Jersey
(9/17/2021)

New York
(8/12/2022)

Exams

State Security Law Exam

Series 63

Date: 9/16/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 7/29/2024

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/6/1996

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

FIRST MANHATTAN SECURITIES LLC

FIRST MANHATTAN CO | FIRST MANHATTAN SECURITIES LLC | FIRST MANHATTAN CO. LLC

CRD#: 1845 / SEC#: 801-12411, 8-10438

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

399 Park Avenue, New York, NY 10022

Mailing Address

399 Park Avenue, New York, NY 10022

Phone number

(212) 756-3300

Established

Delaware since 11/02/2022

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

114

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

Name	Position	CRD#
FMC GROUP HOLDINGS LP	LIMITED PARTNERSHIP
WYDRA, ZACHARY A	CHIEF EXECUTIVE OFFICER	2937857
ASPEN, ANDREW JOSEPH	CHIEF LEGAL OFFICER	5282749
COVINO, JEREMY PAUL	CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF FINRA RULE 3130)	6794503
PINTO, ALVARO SPINOLA	FINOP/PRINCIPAL OPERATIONS OFFICER	6367887
SAMMARCO, JOSEPH ANTHONY	CO-DIRECTOR OF OPERATIONS; HEAD OF SUPERVISION	2982052

Regulatory assets under management

Total Number of Accounts	5,308
AUM (Assets Under Management)	$ 29,853,233,052

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/22/2022	Cover Page	Report

Red Flags

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Joseph L. Mattiello

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Leonard Mattiello's CRS (Customer Relationship Summary).

Certified licenses

Experience

PERSHING LLC

SUPPES SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/16/1996

Series 52TO

Date: 7/29/2024

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/6/1996

FINRA

Nasdaq Stock Market

Current Firm

FIRST MANHATTAN SECURITIES LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

FIRST MANHATTAN SECURITIES LLC

TRUST BUT VERIFY

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