Elizabeth J. Mattern
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.
Elizabeth Jane Mattern, who also goes by Elizabeth Jane Haas, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 2008. Elizabeth had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2023 - April 12, 2023
LIDO
October 4, 2016 - December 5, 2022
EQUITABLE DISTRIBUTORS, LLC
January 20, 2015 - August 30, 2016
EATON VANCE MANAGEMENT
January 2, 2015 - August 30, 2016
EATON VANCE DISTRIBUTORS, INC.
October 16, 2013 - November 26, 2014
CLEARBRIDGE INVESTMENTS, LLC
September 24, 2013 - November 26, 2014
FRANKLIN DISTRIBUTORS, LLC
October 11, 2010 - September 17, 2013
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
October 8, 2010 - September 17, 2013
AST INVESTMENT SERVICES, INC.
January 26, 2010 - September 29, 2010
SIGNATOR INVESTORS, INC.
November 4, 2008 - September 29, 2010
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
LIDO
CRD#: 269866 / SEC#: 801-100433
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
LIDO
CRD#: 269866 / SEC#: 801-100433
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 27,931 |
| AUM (Assets Under Management) | $ 29,080,337,946 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 11/26/2024 | ||
| 01/26/2024 | ||
| 02/28/2023 |
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.
