Philip Mattoon
Professional summary
Philip Mattoon, who also goes by Philip Yuta Mattoon, is a registered financial professional currently at CAIS CAPITAL LLC located in New York, New York.
Philip is registered as a RR (Registered Representative) and started their career in finance in 2018. Philip has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Philip Mattoon's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 16, 2022 - Present
CAIS CAPITAL LLC
Office #1: 527 Madison Avenue 2nd Floor & 8th Floor, New York, NY 10022March 7, 2019 - March 19, 2021
MORGAN STANLEY
December 14, 2018 - March 19, 2021
MORGAN STANLEY
July 19, 2018 - October 22, 2018
PHX FINANCIAL, 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
(3/16/2022)
(3/16/2022)
Exams
FINRA
Current Firm
CAIS CAPITAL LLC
CRD#: 154512 / SEC#: , 8-68646
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL INTEGRATION SYSTEMS LLC | PARENT/OWNER | |
| BROWN, MATTHEW CRAWFORD | CEO/MEMBER/EXECUTIVE REP. | 2160159 |
| COLLINS, MICHAEL PATRICK | CCO | 5366193 |
| KRZAK, ALEXANDER JACOB | POO | 6349160 |
| PARISE, JANICE DRU | FINOP/PFO | 2338583 |
| PREMSELAAR, MARC KLEIN | SENIOR MANAGING DIRECTOR | 5395973 |
| SHANNON, TIMOTHY BRIAN | PRESIDENT | 4461906 |
| WALKER, BRADLEY JAY | SENIOR MANAGING DIRECTOR | 5000838 |
Red Flags
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