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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Mattos is a financial advisor with over 30 years of experience in the industry. David currently works at LPL Financial LLC in Cranford, NJ. David has a broad range of experience, having previously worked at Royal Alliance Associates, Inc., UBS Paine Webber Inc., and Dean Witter Reynolds Inc. David has passed several exams including Series 63, 65, 7, 3, 8, 9, 10, and SIE. David is registered with the state of Massachusetts as an investment advisor and also registered with the state of New Jersey and Rhode Island as a registered representative. David's specializations include individual, corporate, retirement and investment management services.
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.
Consulting and other non-discretionary advisory services
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.
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2
NJ
07/05/2018 - Present
LPL Financial LLC (CRANFORD NJ)
NJ
05/23/2003 - 07/09/2018
ROYAL ALLIANCE ASSOCIATES, INC. (CLARK NJ)
NJ
11/01/1993 - 06/03/2003
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
10/27/1989 - 11/01/1993
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 11/04/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/09/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/27/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/11/1991
Series 3 - National Commodity Futures Examination
BC
Issued 10/21/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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