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GORDON LYNN MATTOCKS III
GORDON L MATTOCKS
CRD#: 2956464
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 THE OFFICE ON THE PARK
6337 MORRISON BOULEVARD
CHARLOTTE, NC 28211
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2002 - 2005 (3 years)2 FIRMS2005 - Present (19 years)BWACHOVIA SECURITIES, INC. (CRD# 431)1997 - 2002 (4 years)IAWACHOVIA SECURITIES, INC. (CRD# 431)2002 - 2002 (<1 year)
License(s)

State Registrations

B
Alabama 1/5/2017

B
New Jersey 2/9/2022

B
Arizona 8/14/2019

B
New Mexico 2/11/2022

B
California 10/7/2005

B
New York 3/20/2013

B
Colorado 7/18/2019

B
North Carolina 10/7/2005

B
Connecticut 10/7/2005

IA
North Carolina 10/7/2005

B
Delaware 2/3/2011

B
Ohio 1/5/2017

B
Florida 1/30/2008

B
Oklahoma 12/12/2022

B
Georgia 10/7/2005

B
Oregon 2/9/2022

B
Illinois 5/23/2023

B
Pennsylvania 1/5/2017

B
Kentucky 2/1/2018

B
South Carolina 10/7/2005

B
Louisiana 1/24/2024

IA
South Carolina 7/31/2024

B
Maryland 1/5/2017

B
Tennessee 1/31/2012

B
Massachusetts 4/20/2020

B
Texas 10/7/2005

B
Michigan 1/5/2009

IA
Texas 7/18/2006

B
Minnesota 4/6/2022

B
Utah 2/25/2020

B
Missouri 1/3/2023

B
Virginia 10/7/2005

B
Nevada 3/5/2020

B
Washington 1/20/2022

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
THE OFFICE ON THE PARK 6337 MORRISON BOULEVARD, CHARLOTTE, NC 28211
6100 FAIRVIEW ROAD 9TH FLOOR, CHARLOTTE, NC 28211
Registered with this firm since 10/7/2005

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
THE OFFICE ON THE PARK 6337 MORRISON BOULEVARD, CHARLOTTE, NC 28211
6100 FAIRVIEW ROAD 9TH FLOOR, CHARLOTTE, NC 28211
Registered with this firm since 10/7/2005

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/20/2002 - 10/11/2005 WACHOVIA SECURITIES, LLC (CRD#:19616) CHARLOTTE, NC
B
06/15/2002 - 10/11/2005 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
IA
01/28/2002 - 06/20/2002 WACHOVIA SECURITIES, INC. (CRD#:431) CHARLOTTE, NC
B
11/28/1997 - 06/15/2002 WACHOVIA SECURITIES, INC. (CRD#:431) CHARLOTTE, NC
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.