Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Mattera is an investment professional with over 20 years of experience in the financial services industry. Richard is currently registered with First Citizens Investor Services, Inc. Richard has a broad range of experience, having previously worked for firms like Curvature Securities LLC, Unest Securities, LLC, Cbre Capital Advisors, Inc., FM (usa), LLC, Bates Securities, Inc., MCM Securities LLC, Gordon Dyal & CO., LLC, Terranova Capital Equities, Inc., and many more. Richard has a Series 27, Series 99TO, and SIE license.
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.
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.
A percentage of the total value of assets under management is charged.
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2
NC
07/22/2024 - Present
First Citizens Investor Services, Inc. (RALEIGH NC)
NY
08/01/2016 - 04/22/2024
TORNADO (NEW YORK NY)
TX
09/08/2022 - 01/04/2024
SOCIAL INVSTR (SAN ANTONIO TX)
CA
07/02/2020 - 12/31/2023
SVB INVESTMENT SERVICES INC. (SAN FRANCISCO CA)
NY
05/19/2014 - 06/09/2023
SAMSUNG SECURITIES (AMERICA), INC. (NEW YORK NY)
FL
11/16/2021 - 08/24/2022
LESTE USA (MIAMI FL)
NY
05/27/2014 - 05/06/2021
CATALYTIC CAPITAL, LLC (PURCHASE NY)
NY
12/01/2016 - 12/31/2020
EQUATEX US INC (NEW YORK NY)
KY
07/29/2016 - 11/13/2020
PRIVATE CLIENT SERVICES, LLC (LOUISVILLE KY)
CT
05/09/2016 - 06/29/2020
ASCENT CAPITAL ADVISORS (AMERICA) LLC (WESTPORT CT)
NY
06/26/2014 - 03/24/2020
LAMPE CAPITAL NORTH AMERICA LLC (NEW YORK NY)
CA
09/22/2016 - 09/03/2019
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK (SAN FRANCISCO CA)
NY
10/04/2013 - 01/28/2019
GLOBAL VENTURES CAPITAL, LLC (NEW YORK NY)
NY
07/10/2017 - 08/10/2018
EMBONDS INC. (NEW YORK NY)
NY
04/07/2016 - 06/15/2017
ATREYU GROUP LLC (New York NY)
TX
11/09/2011 - 06/06/2016
FULCRUM CAPITAL MARKETS LLC (AUSTIN TX)
MA
02/26/2015 - 06/01/2016
USTOCKTRADE SECURITIES, INC. (NEWTON MA)
NY
08/14/2014 - 05/09/2016
RABO SECURITIES USA, INC. (NEW YORK NY)
SC
01/20/2015 - 02/03/2016
TRC MARKETS LLC (MOUNT PLEASANT SC)
NY
05/02/2014 - 02/03/2016
LATOUR TRADING LLC (NEW YORK NY)
NY
11/10/2009 - 02/25/2015
MONDIALE SECURITIES, LLC (NEW YORK NY)
NY
04/07/2014 - 10/02/2014
MERCARI CROSSING LLC (NEW YORK NY)
NY
01/25/2012 - 02/07/2014
IATMARKETS LLC (NEW YORK NY)
CT
11/20/2012 - 01/31/2014
CRITO CAPITAL LLC (WESTPORT CT)
NY
01/19/2012 - 12/05/2012
MARWOOD GROUP RESEARCH (NEW YORK NY)
NY
05/22/2002 - 12/05/2012
MARWOOD GROUP (NEW YORK NY)
CT
08/08/2012 - 10/24/2012
SSR LLC (STAMFORD CT)
NY
12/16/2005 - 04/13/2011
MARWOOD ALTERNATIVE ASSET MANAGEMENT LLC (NEW YORK NY)
NY
07/11/2002 - 03/04/2011
C3 CAPITAL, LLC (NEW YORK NY)
NY
03/17/2009 - 03/30/2009
RESRV PARTNERS, INC. (NEW YORK NY)
NY
10/19/1999 - 04/22/2003
TN CAPITAL EQUITIES, LTD (NEW YORK NY)
NY
02/16/2001 - 04/09/2002
JDA VENTURES CORPORATION (NEW YORK NY)
BC
Issued 05/27/1992
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MEMX LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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