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JM

Joseph M. Mattia

USI ADVISORS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 3204235
JM

Professional summary

Joseph Michael Mattia, AIF®, who also goes by Joe Mattia, is a registered financial advisor currently at USI ADVISORS located in Chicago, Illinois and USI SECURITIES, INC. located in Chicago, Illinois.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Joseph has worked at 6 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 31, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Joe Mattia

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) - RIA

Click below to view Joseph Michael Mattia'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®
AIF®

Accredited Investment Fiduciary

Experience

Current

August 21, 2023 - Present

USI ADVISORS

Office #1: 222 S Riverside Plaza Ste 900, Chicago, IL 60606
RIA
CRD#: 108113
Chicago, IL
Current

February 12, 2024 - Present

USI SECURITIES, INC.

Office #1: 222 S. Riverside Plaza, Suite 630, Chicago, IL 60606
RIA
BD
CRD#: 43793
Chicago, IL
Past

January 5, 2017 - April 18, 2023

CHOREO, LLC

RIA
CRD#: 111221
SCHAUMBURG, IL
Past

February 25, 2005 - January 27, 2017

LPL FINANCIAL LLC

RIA
CRD#: 6413
NAPERVILLE, IL
Past

January 28, 2005 - January 27, 2017

LPL FINANCIAL LLC

BD
CRD#: 6413
NAPERVILLE, IL
Past

June 4, 2001 - February 2, 2005

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

June 11, 1999 - May 24, 2001

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA

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".
UA
USI ADVISORS
USI ADVISORS | USICG ADVISORS INC. | USICG ADVISORS INC | USI ADVISORS, INC.

CRD#: 108113 / SEC#: 801-56622

RIA
Registered Investment Advisory firm - (6/18/1999 Approved)

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

IAR
Illinois
(8/21/2023)
RR
Illinois
(10/3/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/26/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 2/24/2005
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 10/10/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/8/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 6/22/2010
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 10/23/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/10/1999
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/8/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

UA
USI ADVISORS
USI ADVISORS | USICG ADVISORS INC. | USICG ADVISORS INC | USI ADVISORS, INC.

CRD#: 108113 / SEC#: 801-56622

RIA
Registered Investment Advisory firm - (6/18/1999 Approved)
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Contact information

Main Address
95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033
Mailing Address
Phone number
(860) 633-5283
Established
Firm type
Fiscal year end
# of Employees
77

SEC notice filing (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

USIA ADV 2A - JULY 2025 (7/3/2025)

Regulatory assets under management

Total Number of Accounts1,346
AUM (Assets Under Management)$ 48,864,913,348

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.

Company Information

USI ADVISORS

CRD#: 108113Chicago, IL 60606

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