Benjamin D. Matheson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Benjamin D Matheson, who also goes by Benjamin David Matheson, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1991. Benjamin had worked at 25 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2021 - July 18, 2025
SHOPOFF SECURITIES, INC.
November 18, 2020 - July 28, 2021
COMMONGOOD SECURITIES LLC
November 11, 2019 - April 28, 2020
JCC CAPITAL MARKETS, LLC
October 15, 2019 - November 4, 2019
KALOS CAPITAL, INC.
August 3, 2018 - May 2, 2019
SKYWAY CAPITAL MARKETS, LLC
June 19, 2014 - August 6, 2018
SHOPOFF SECURITIES, INC.
April 8, 2013 - June 6, 2014
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
March 8, 2013 - June 6, 2014
INTERNATIONAL ASSETS ADVISORY, LLC
September 17, 2012 - February 28, 2013
JACKSON WEALTH MANAGEMENT, LLC
September 13, 2012 - February 26, 2013
TRIAD ADVISORS LLC
July 22, 2011 - August 20, 2012
HARRISDIRECT LLC
July 20, 2011 - August 20, 2012
E*TRADE SECURITIES LLC
September 2, 2009 - July 19, 2011
INVEST FINANCIAL CORPORATION
September 2, 2009 - July 19, 2011
INVEST FINANCIAL CORPORATION
July 27, 2009 - August 17, 2009
INVEST FINANCIAL CORPORATION
July 23, 2009 - August 17, 2009
INVEST FINANCIAL CORPORATION
April 30, 2008 - July 23, 2009
FIRST LEGACY SECURITIES, LLC
October 24, 2003 - May 23, 2006
ALLSTATE FINANCIAL SERVICES, LLC
June 23, 2003 - August 4, 2003
WADDELL & REED
April 19, 2000 - July 9, 2001
LASALLE ST SECURITIES, L.L.C.
October 7, 1998 - March 12, 1999
FORESIDE DISTRIBUTION SERVICES, L.P.
September 25, 1995 - August 21, 1998
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 20, 1994 - September 7, 1995
THE INVESTMENT CENTER, INC.
August 5, 1994 - October 20, 1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
September 1, 1993 - April 8, 1994
FIRST UNION BROKERAGE SERVICES, INC.
May 6, 1993 - August 26, 1993
AMERIPRISE ADVISOR SERVICES, INC.
March 3, 1993 - April 30, 1993
FAIRCHILD FINANCIAL GROUP, INC.
July 10, 1992 - March 11, 1993
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 1, 1991 - July 29, 1992
J. W. GANT & ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SHOPOFF SECURITIES, INC.
CRD#: 142866 / SEC#: , 8-67499
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE SHOPOFF REVOCABLE TRUST DATED 8/12/2004 | OWNER | |
| MERRIMAN, JO ALMA | CHIEF OPERATING OFFICER | 7346895 |
| SHOPOFF, CINDY MILAM | TRUSTEE | 5380583 |
| SHOPOFF, WILLIAM ANTHONY | CHIEF COMPLIANCE OFFICER / AML-CO | 1273471 |
| SHOPOFF, WILLIAM ANTHONY | PRESIDENT/CEO | 1273471 |
| SHOPOFF, WILLIAM ANTHONY | TRUSTEE | 1273471 |
| SHUMBERG, IVANA M | FINOP | 3167225 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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