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Mattia Buffolino

SG Americas Securities, LLC

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About Mattia Buffolino

Mattia Buffolino is a financial professional with over 20 years of experience in the financial services industry. Mattia has held various roles at leading financial institutions including Goldman Sachs Execution & Clearing, L.P., Wachovia Securities, LLC, and Harrisdirect LLC. Mattia is currently registered with SG Americas Securities, LLC. Mattia holds several industry licenses including Series 4, 7, 24, 55, and 63. Mattia is dedicated to providing clients with personalized financial advice and solutions.

Firm Information

Mattia Buffolino is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Mattia Buffolino’s Registration & Firm History

NY

08/13/2018 - Present

SG Americas Securities, LLC (NEW YORK NY)

NY

08/01/2005 - 03/19/2015

GOLDMAN SACHS EXECUTION & CLEARING, L.P. (NEW YORK NY)

MO

11/17/2004 - 02/11/2005

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NJ

09/15/1998 - 08/17/2004

HARRISDIRECT LLC (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 10/01/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/16/2000

Series 24 - General Securities Principal Examination

BC

Issued 09/22/1999

Series 4 - Registered Options Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/16/2001

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 09/14/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Mattia Buffolino.
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