BrokerSearch

BrokerSearch

JAMES ROGER MATTIUSSI

JAMES ROGER MATTIUSSI is currently employed as a Broker and/or Investment Adviser at VOYA FINANCIAL ADVISORS, INC. located at 699 Walnut St Suite 1000, DES MOINES, IA, 50309.

JAMES ROGER MATTIUSSI has worked at VOYA FINANCIAL ADVISORS, INC. since November 19, 2013

Disclosure History

JAMES ROGER MATTIUSSI has 3 Disclosure Event(s).

Date: April 05, 2016
Category: Judgment / Lien
Judgment/Lien Amount: $4,383.23
Judgment/Lien Type: Civil

Date: December 12, 2013
Category: Judgment / Lien
Judgment/Lien Amount: $1,139.46
Judgment/Lien Type: Civil

Date: September 24, 2008
Category: Judgment / Lien
Judgment/Lien Amount: $7,262.68
Judgment/Lien Type: Civil

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for JAMES ROGER MATTIUSSI, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.

How to choose a broker or investment adviser. Learn More