David Mattos

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2003 → 06/2018
  Royal Alliance Associates, Inc.
  Iselin, RI
• 06/2018 → Present
  Lpl Financial
  Clark, NJ

Previous Registrations

• 2003-05-28 → 2018-07-09
  Osaic Wealth, Inc.
  Clark, NJ
• 2002-06-07 → 2003-06-03
  Ubs Financial Services Inc.
  Edison, NJ

Other Businesses

1)07/05/2018 - Business Entity For Tax/Investment Purposes Only - Mattos Investment Management Corp - 1% - CLARK, NJ 07066 2)07/05/2018 - DBA for LPL Business (entity for LPL business) - Mattos Capital Management, LLC - 100% - INVESTMENT RELATED - CLARK, NJ 07066 3) 02/28/2022 - J.L.Aloof Financial srevices - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 01/31/2022 - 1 Hours Per Month/1 Hours During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-11-04
• S63 Uniform Securities Agent State Law Examination
  1989-11-09