Heather L. Mattingly
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.
Heather Lee Mattingly was a registered financial professional .
Heather is a previously registered financial professional and started their career in finance in 2003. Heather had worked at 7 firms and has passed the Series 63, Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2012 - September 17, 2012
GULFSTAR GROUP I, LTD.
November 30, 2006 - August 1, 2008
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
September 26, 2006 - August 1, 2008
INVESCO DISTRIBUTORS, INC.
April 1, 2005 - August 25, 2006
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
February 23, 2005 - March 22, 2005
FLAGSTAR ADVISORS
January 2, 2004 - December 31, 2004
SENTRA SECURITIES CORPORATION
December 17, 2003 - December 8, 2004
SUNAMERICA SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GULFSTAR GROUP I, LTD.
CRD#: 28922 / SEC#: , 8-43999
Contact information
FINRA licenses (21 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GULFSTAR HOLDINGS, INC. | LIMITED PARTNER | |
| IBC SUBSIDIARY CORPORATION | LIMITED PARTNER | |
| GULFSTAR GROUP GP, LLC | GENERAL PARTNER | |
| LUEDDE, FULLERTON W III | PRESIDENT/CCO/CEO | 3218204 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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