Nikki D. Mattera
Professional summary
Nikki Dee Mattera, who also goes by Nikki Dee Caraway, is a registered financial professional currently at DFA SECURITIES LLC located in Charlotte, North Carolina.
Nikki is registered as a RR (Registered Representative) and started their career in finance in 1998. Nikki has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nikki Dee Mattera's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 21, 2017 - Present
DFA SECURITIES LLC
Office #1: 1515 South Tryon Street, Charlotte, NC 28203February 25, 2008 - February 6, 2017
LPL FINANCIAL LLC
July 26, 2005 - May 17, 2012
UVEST FINANCIAL SERVICES GROUP, INC.
September 8, 1999 - August 1, 2005
HARRISDIRECT LLC
April 21, 1998 - July 30, 1999
LPL FINANCIAL 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
(2/21/2017)
Exams
FINRA
Current Firm
DFA SECURITIES LLC
CRD#: 10292 / SEC#: , 8-27006
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIMENSIONAL FUND ADVISORS LP | DELAWARE LP AND SOLE MEMBER OF DFAS | |
| BOOTH, DAVID GILBERT | CHAIRMAN | 1031000 |
| BUTLER, DAVID PAUL | CO-CHIEF EXECUTIVE OFFICER | 2305298 |
| DALLMER, LISA MICHELE | CHIEF OPERATING OFFICER | 2586913 |
| GRZELAK, BERNARD JAMES | CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL, AND PRINCIPAL OPERATING OFFICER | 4285750 |
| NEWELL, CATHERINE LEE | VICE PRESIDENT AND SECRETARY | 2890628 |
| NOTELOVITZ, SELWYN JUSTIN | GLOBAL CHIEF COMPLIANCE OFFICER | 2886676 |
| O'REILLY, GERARD KIERAN | CO-CHIEF EXECUTIVE OFFICER AND CO-CIO | 4982644 |
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.
