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LM

Louis G. Mastromatteo

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CRD#: 4478822
LM

Professional summary

Louis Gabriel Mastromatteo was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Louis is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Louis had worked at 4 firms, which includes SPENCER EDWARDS INC., NATIONAL SECURITIES CORPORATION, THE CONCORD EQUITY GROUP LLC, DUNWOODY BROKERAGE SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 14, 2007 - September 28, 2009

SPENCER EDWARDS, INC.

BD
CRD#: 22067
CENTENNIAL, CO
Past

April 24, 2007 - June 13, 2007

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BAY VILLAGE, OH
Past

September 2, 2005 - May 1, 2007

THE CONCORD EQUITY GROUP, LLC

BD
CRD#: 14569
ISELIN, NJ
Past

December 4, 2001 - September 2, 2005

DUNWOODY BROKERAGE SERVICES, INC.

BD
CRD#: 31183
ATLANTA, GA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/12/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/3/2001
General Securities Representative Examination

Current Firm

SE
SPENCER EDWARDS, INC.
EMERALD SECURITIES, INC. | WORLD SECURITIES CORPORATION | SPENCER EDWARDS, INC.

CRD#: 22067 / SEC#: , 8-39511

BD
Terminated by SEC on 03/01/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 10/22/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PRIMARC HOLDING CORP.PARENT COMPANY
FLEMMING, DONNA JEANCHIEF FINANCIAL OFFICER/FINOP1791388
FLEMMING, DONNA JEANPRESIDENT, CHIEF EXECUTIVE OFFICER1791388
KASZYCKI, JOHN EDWARDCHIEF COMPLIANCE OFFICER264844
RICHARDSON, THOMAS CRAIGMANAGER OF TRADING867402

Disclosures

Regulatory Event18
Arbitration2

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

SPENCER EDWARDS, INC.

CRD#: 22067

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