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Christopher Mates

Managing Director, Global Clearing @ Prudential Financial

Chief Legal & Compliance Officer at Disruptive Technology Advisers (DTA)

Greater Los Angeles Area

Ranked #893 out of 17,860 for Managing Director, Global Clearing in United States

Section title

Christopher Mates's Email Addresses & Phone Numbers

Christopher Mates's Work Experience

Prudential Financial

Managing Director, Global Clearing

1986 to 2001



Chief Legal & Compliance Officer

August 2018 to September 2019

Los Angeles

Liquid Capital Group

Chief Executive Officer (CEO) / Chief Compliance Officer (CCO) / Owner

July 2007 to November 2017


Christopher Mates's Education

Chicago-Kent College of Law, Illinois Institute of Technology


Xavier University


Miami University


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Christopher Mates's Estimated Salary Range

About Christopher Mates's Current Company

Prudential Financial

Managed day-to-day business (Sales, Business Development, Strategic Planning, Staffing and Budgeting) of PSI’s Global Clearing operation, the Institutional Financial Futures Department. Founded firm’s first 24 hour Sales Desk. Led investigative team in procedural audit of the derivative practices of pension fund managers employed by the International Monetary Fund (IMF), culminating in comprehensive report reviewed and approved by...

Frequently Asked Questions about Christopher Mates

What company does Christopher Mates work for?

Christopher Mates works for Prudential Financial

What is Christopher Mates's role at Prudential Financial?

Christopher Mates is Managing Director, Global Clearing

What is Christopher Mates's personal email address?

Christopher Mates's personal email address is c****[email protected]

What is Christopher Mates's business email address?

Christopher Mates's business email address is c****[email protected]

What is Christopher Mates's Phone Number?

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What industry does Christopher Mates work in?

Christopher Mates works in the Financial Services industry.

Who are Christopher Mates's colleagues?

Christopher Mates's colleagues are Peter Averianov, Charlie McElfresh, Timothy Chin, Kaila Karr, Kevin Luu, Mazi Bahadori, Yash Kamothi, Kevin Gabinete, Damien Varron, and Tiffany Lin

About Christopher Mates

💼 Past Experience

Christopher Mates' work experience with FINRA and the SEC has included being a Managing Director, Global Clearing at Prudential Financial from 1986 to 2001 (15 years). Christopher also spent five years at Liquid Capital Markets, LLC where he managed the financial operations and compliance functions of two FINRA-registered Broker Dealers. Finally, Christopher was the First Vice President - Derivative Sales & Clearing at Calyon Financial Inc. from 2001 to 2007. From 2001 to 2007, Christopher also managed a specialty sales brokerage group that provided clearing and execution services to global institutional clients.Christopher has also worked for the law firm Mates & O'Keefe, LLC as a Legal Counsel, Regulatory & Compliance Consulting from 2000 to 2010. during this time, Christopher was responsible for the compliance function for the sales group.

🎓 Education

Christopher Mates has a JD from Chicago-Kent College of Law, Illinois Institute of Technology in 1998. He then completed an M.B.A. from Xavier University in 2002. After finishing his B.S.B.A. from Miami University in 2006, Christopher Mates worked as a law clerk for the Honorable Barbara W. Marsh of the United States District Court of the District of Columbia from 2007-2010. From 2010-2012, he was a legal consultant to the City of Chicago. As a legal consultant to the City of Chicago, Christopher Mates provided legal opinions to clients on a variety of legal issues. Since leaving his time as a legal consultant to the City of Chicago, Christopher Mates has dedicated himself to his professional practice as a lawyer. Christopher Mates has worked as a lawyer at the law firm of Patton Boggs in law firm from 2013-2017. In 2017, Christopher Mates left Patton Boggs to become a partner at the firm of McKenzie, Dizon, Gerstenfeind and Wright in Chicago. From 2018-present, Christopher Mates is a partner at the law firm of Mullin, Steindlen & Bauer.Christopher Mates's education provides him with great experience and knowledge in the legal field. He has worked extensively as a lawyer and has learned how to navigate the legal system and provide advice and representation to clients.Additionally, Christopher Mates is highly professional, detail-oriented and has a great work readiness. Whilst working as a lawyer, Christopher Mates has learned how to develop and manage relationships with clients and colleagues, as well as how to write and argue cases. Additionally, Christopher Mates is a fantastic INFJ who has a deep knowledge in legal and administrative law and is excellent at problem solving.

💡 Technical & Interpersonal Skills

Christopher Mates's Professional versatility and experienceiotic skills:Christopher Mates has over 15 years of experience in a variety of industries and roles, including but not limited to: legal, compliance, financial, operating, and technical positions. He has a strong understanding of financial, regulatory, and business processes, and is known for his ability to work with a team of employees to simplify and duplicate complex tasks. Mates is also an expert inASHM (Anti-Money Laundering)/KYC compliance, and is familiar with various software development tools and methodologies.Mates has a proven track record of working with other professionals, both in his personal life and in his professional endeavors. He is relatively reliable and has a great sense of humor. He is also a prime example of an individual who takes pride in their work and is 423% certain that they will continue to be successful. Mates is also highly organized and efficient, and is able to quickly Tile new, difficult tasks.

Christopher Mates’s Personal Email Address, Business Email, and Phone Number

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In a nutshell

Christopher Mates's Personality Type

Introversion (I), Sensing (S), Thinking (T), Perceiving (P)

Average Tenure

7 year(s), 6 month(s)

Christopher Mates's Willingness to Change Jobs



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