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IVAN Obra MATTOX Sr
IVAN OBRA MATTOX SR, IVAN OBRA MATTOX, IVAN MATTOX, IVAN MATTOX
CRD#: 4537633
IA
Investment Adviser
B
Broker
MML INVESTORS SERVICES, LLCCRD#: 10409 East Shore 1
100 Eastshore Drive, Suite 300
Glen Allen, VA 23059
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2004 (1 year)2 FIRMS2004 - 2008 (3 years)2 FIRMS2008 - 2008 (<1 year)2 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - 2011 (2 years)2 FIRMS2011 - 2016 (5 years)2 FIRMS2016 - 2020 (3 years)2 FIRMS2021 - 2024 (2 years)2 FIRMS2024 - Present (<1 year)IASECURE INVESTMENT MANAGEMENT, LLC (CRD# 141195)2020 - 2021 (1 year)
Disclosure(s)
View By:
5/13/2024
Employment Separation After Allegations
5/20/2019
Financial
Final
12/1/2016
Financial
Final
4/27/2016
Financial
Final
1/9/2015
Judgment / Lien
License(s)

State Registrations

B
Maryland 1/23/2025

IA
Virginia 8/15/2024

B
Virginia 8/7/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MML INVESTORS SERVICES, LLC (CRD#:10409)
East Shore 1 100 Eastshore Drive, Suite 300, Glen Allen, VA 23059
Registered with this firm since 8/15/2024

B
MML INVESTORS SERVICES, LLC (CRD#:10409)
East Shore 1 100 Eastshore Drive, Suite 300, Glen Allen, VA 23059
Registered with this firm since 8/5/2024

Previous Registration(s)
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IA
11/03/2021 - 06/06/2024 WELLS FARGO ADVISORS (CRD#:19616) GLEN ALLEN, VA
B
11/02/2021 - 06/06/2024 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) ST. LOUIS, MO
IA
03/12/2020 - 06/03/2021 SECURE INVESTMENT MANAGEMENT, LLC (CRD#:141195) Maiden, VA
IA
11/02/2016 - 02/05/2020 ONEAMERICA SECURITIES, INC. (CRD#:4173) Midlothian, VA
B
11/02/2016 - 02/05/2020 ONEAMERICA SECURITIES, INC. (CRD#:4173) Midlothian, VA
IA
09/20/2011 - 10/04/2016 AXA ADVISORS, LLC (CRD#:6627) RICHMOND, VA
B
09/20/2011 - 10/04/2016 AXA ADVISORS, LLC (CRD#:6627) RICHMOND, VA
IA
05/28/2009 - 10/05/2011 ONEAMERICA SECURITIES, INC. (CRD#:4173) GLEN ALLEN, VA
B
05/08/2009 - 10/05/2011 ONEAMERICA SECURITIES, INC. (CRD#:4173) GLEN ALLEN, VA
IA
08/01/2008 - 05/06/2009 NATIONWIDE SECURITIES, LLC (CRD#:11173) WOODBRIDGE, VA
B
08/01/2008 - 05/06/2009 NATIONWIDE SECURITIES, LLC (CRD#:11173) WOODBRIDGE, VA
IA
06/18/2008 - 08/01/2008 1717 CAPITAL MANAGEMENT COMPANY (CRD#:4082) RICHMOND, VA
B
06/17/2008 - 08/01/2008 1717 CAPITAL MANAGEMENT COMPANY (CRD#:4082) RICHMOND, VA
IA
07/14/2004 - 06/19/2008 ON INVESTMENT MANAGEMENT CO (CRD#:105662) MAIDENS, VA
B
07/14/2004 - 06/19/2008 THE O.N. EQUITY SALES COMPANY (CRD#:2936) MAIDENS, VA
IA
09/06/2002 - 05/28/2004 AXA ADVISORS, LLC (CRD#:6627) RICHMOND, VA
B
08/12/2002 - 05/28/2004 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
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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.