Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Mattia is an investment advisor representative with UBS Financial Services Inc., registered with the state of New York. David has been working in the industry since 1992 and holds a Series 7, Series 31, and Series 63 license. David has a broad range of experience in the financial services industry, having previously worked at City National Securities, Inc., Citigroup Global Markets Inc., and Lehman Brothers Inc. David is also a member of the board of directors for the Rochester Lyric Opera.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NY
08/09/2019 - Present
UBS Financial Services Inc. (ROCHESTER NY)
NY
05/19/2009 - 06/03/2011
CITY NATIONAL SECURITIES, INC. (PITTSFORD NY)
NY
07/31/1993 - 09/09/2008
CITIGROUP GLOBAL MARKETS INC. (ROCHESTER NY)
NY
08/28/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 01/27/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/26/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/03/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 08/27/1991
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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