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DM

Darren T. Mattis

FIRST LIBERTIES FINANCIAL
TAMPA, FL 33602
Some features on this profile are disabled
CRD#: 5507624
DM

Professional summary

Darren Thomas Mattis, who also goes by Darren T Mattis, Darren Thomas Mattis, Darren Mattis, is a registered financial professional currently at FIRST LIBERTIES FINANCIAL located in Tampa, Florida.

Darren is registered as a RR (Registered Representative) and started their career in finance in 2008. Darren has worked at 10 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Darren T Mattis | Darren Thomas Mattis | Darren Mattis

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) - BD

Click below to view Darren Thomas Mattis's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 13, 2026 - Present

FIRST LIBERTIES FINANCIAL

Office #1: 2915 N. Boulevard Suite A, Tampa, FL 33602
BD
CRD#: 14432
TAMPA, FL
Past

April 27, 2022 - November 27, 2023

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
NEW YORK, NY
Past

March 29, 2021 - June 17, 2021

INDEPENDENT BROKERAGE SOLUTIONS LLC

BD
CRD#: 153563
New York, NY
Past

November 12, 2020 - December 2, 2020

OSAIC SERVICES, INC.

BD
CRD#: 133763
NEW YORK, NY
Past

May 21, 2020 - July 29, 2020

THINKEQUITY LLC

BD
CRD#: 20996
New York, NY
Past

September 12, 2017 - August 13, 2018

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

October 3, 2011 - March 15, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHANDLER, AZ
Past

September 30, 2011 - March 15, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHANDLER, AZ
Past

December 22, 2009 - August 25, 2011

USAA FINANCIAL PLANNING SERVICES

RIA
CRD#: 106352
PHOENIX, AZ
Past

December 8, 2009 - August 25, 2011

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
PHOENIX, AZ
Past

October 27, 2008 - July 9, 2009

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
SCOTTSDALE, AZ
Past

May 19, 2008 - July 9, 2009

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
SCOTTSDALE, AZ

State Registrations and Notice Filings

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

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

RR
Colorado
(2/18/2026)
RR
Connecticut
(2/17/2026)
RR
Florida
(2/16/2026)
RR
New Jersey
(2/16/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 9/22/2017
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 7/17/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/21/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/13/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/12/2017
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 5/15/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FL
FIRST LIBERTIES FINANCIAL
FIRST LIBERTIES FINANCIAL | FIRST LIBERTIES SECURITIES,INC. | FIRST LIBERTIES SECURITIES, INC.

CRD#: 14432 / SEC#: , 8-30673

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
2915 N. Boulevard Suite A, Tampa, FL 33602
Mailing Address
2915 N. Boulevard Suite A, Tampa, FL 33602
Phone number
(917) 639-5451
Established
New York since 10/12/1983
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PELION FINANCIAL GROUP, INC.OWNER
BERGMAN, HILARY GUYDIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER1834738

Disclosures

Regulatory Event2

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

FIRST LIBERTIES FINANCIAL

CRD#: 14432Tampa, FL 33602

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