Emily M. Mattox
Professional summary
Emily M Mattox is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Warrington, Pennsylvania.
Emily is registered as a RR (Registered Representative) and started their career in finance in 2002. Emily has worked at 3 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Emily M Mattox's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 14, 2025 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2600 Kelly Road Suite 210, Warrington, PA 18976September 10, 2012 - December 31, 2012
LINCOLN INVESTMENT
October 23, 2002 - January 7, 2008
VANGUARD MARKETING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/1/2025)
Exams
Series 6TO
Date: 4/14/2025
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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