Mark A. Mattheys
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.
Mark Anthony Mattheys, who also goes by Mark Mattheys, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1997. Mark had worked at 4 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2017 - March 26, 2020
CITIC SECURITIES INTERNATIONAL USA, LLC
February 15, 2013 - March 26, 2020
CLSA AMERICAS, LLC
June 21, 2000 - June 6, 2013
CREDIT AGRICOLE SECURITIES (USA) INC.
October 24, 1997 - June 2, 2000
ROBERT FLEMING INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CITIC SECURITIES INTERNATIONAL USA, LLC
CRD#: 158266 / SEC#: , 8-68887
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
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.
