Stephen Mattingly, financial advisor Tucson AZ
96 score

Stephen Mattingly

CRD Number: 5343116
Current Firm: Lpl Financial LLC

Stephen Mattingly (CRD# 5343116) is an Investment Advisor Representative working at Lpl Financial LLC in Tucson, AZ and has over 9 years of experience in the finance industry. Stephen Mattingly has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Lpl Financial, LLC Tucson, AZ Jul 2009 - Current 7
Thrivent Financial For Lutherans Appleton, WI Jun 2007 - Jul 2009 2
Thrivent Investment Management Inc. Tucson, AZ May 2007 - Jul 2009 2
Raytheon Missile Systems Co Tucson, AZ Dec 1993 - Jun 2007 13
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jun 2007
Contact Info for Stephen E. Mattingly
Phone Number: 617-423-3644
Firm Website: http://www.lpl.com
Registered State(s):
  • IN
  • TX
By the Numbers
  • Total Assets Under Management
    112,086
    MILLIONS
  • Total Number of Accounts
    531,091
    ACCOUNTS
  • Average Account Value
    $211,049
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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