Gordon Lynn Mattocks

Janney Montgomery Scott LLC

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Current Employers

Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2025-05-16
SC	RA	APPROVED	2025-05-08
TX	RA	APPROVED_RES	2025-04-08

NC RA
APPROVED

Since 2025-05-16
SC RA
APPROVED

Since 2025-05-08
TX RA
APPROVED_RES

Since 2025-04-08

Branch Locations

4064 Colony Road Two Morrocroft Centre, Suite 450, Charlotte, NC 28211 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Charlotte	NC	10/2005	03/2025
Janney Montgomery Scott Llc	Charlotte	NC	04/2025	Present

10/2005 → 03/2025

Ubs Financial Services Inc.

Charlotte, NC
04/2025 → Present

Janney Montgomery Scott Llc

Charlotte, NC

Previous Registrations

2005-10-07 → 2025-04-03

Ubs Financial Services Inc.

Charlotte, NC

Charlotte, NC

Charlotte, NC
2002-06-20 → 2005-10-11

Wells Fargo Clearing Services, Llc

Charlotte, NC
2002-01-28 → 2002-06-20

Wachovia Securities, Inc.

Charlotte, NC

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-02-18
S63	Uniform Securities Agent State Law Examination	1998-01-09

S65 Uniform Investment Adviser Law Examination

1998-02-18
S63 Uniform Securities Agent State Law Examination

1998-01-09

Other Names

Gordon L Mattocks

View on SEC IAPD

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