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Detailed Report
Michael Mattia
Michael Joseph Mattia
CRD#: 6786941
IA
Investment Adviser
B
Broker
LPL ENTERPRISE, LLCCRD#: 8733 2700 KELLY ROAD
SUITE 100D
WARRINGTON, PA 18976
Registration History
20172018201920202021202220232024202520262 FIRMS2017 - 2022 (5 years)2 FIRMS2023 - 2024 (1 year)2 FIRMS2024 - Present (<1 year)
Disclosure(s)
View By:
10/19/2022
Employment Separation After Allegations
License(s)

State Registrations

B
New York 11/14/2024
IA
Pennsylvania 11/14/2024
B
Pennsylvania 11/14/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

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
LPL ENTERPRISE, LLC (CRD#:8733)
2700 KELLY ROAD SUITE 100D, WARRINGTON, PA 18976
Registered with this firm since 11/14/2024
B
LPL ENTERPRISE, LLC (CRD#:8733)
2700 KELLY ROAD SUITE 100D, WARRINGTON, PA 18976
Registered with this firm since 11/14/2024
Previous Registration(s)
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IA
 05/24/2023 - 11/14/2024 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) Warrington, PA
B
 05/23/2023 - 11/14/2024 PRUCO SECURITIES, LLC. (CRD#:5685) Warrington, PA
IA
 07/21/2017 - 11/16/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WAYNE, PA
B
 06/08/2017 - 11/16/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WAYNE, PA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.