Benjamin J. Matz

BAILEY & CO. SECURITIES

Los Angeles, CA 90024

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CRD#: 5273061

Professional summary

Benjamin John Matz is a registered financial professional currently at BAILEY & CO. SECURITIES, LLC located in Los Angeles, California.

Benjamin is registered as a RR (Registered Representative) and started their career in finance in 2010. Benjamin has worked at 6 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 10, 2024 - Present

BAILEY & CO. SECURITIES, LLC

Office #1: 1100 Glendon Avenue 17th Floor, Los Angeles, CA 90024

CRD#: 302015

Los Angeles, CA

Past

October 9, 2022 - June 26, 2024

B. RILEY SECURITIES, INC.

CRD#: 25027

Los Angeles, CA

Past

October 1, 2016 - November 2, 2022

HURON TRANSACTION ADVISORY LLC

CRD#: 166959

CHICAGO, IL

Past

February 5, 2015 - September 27, 2016

EIGHT PINES SECURITIES LLC

CRD#: 153794

Los Angeles, CA

Past

March 23, 2012 - October 24, 2014

RABO SECURITIES USA, INC.

CRD#: 122657

NEW YORK, NY

Past

December 15, 2010 - April 15, 2011

MESIROW FINANCIAL, INC.

CRD#: 2764

CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/10/2024)

Tennessee
(7/10/2024)

Exams

State Security Law Exam

Series 63

Date: 12/28/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 5/6/2015

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 12/14/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/28/2016

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BAILEY & CO. SECURITIES, LLC

BAILEY & CO. SECURITIES, LLC | BSC SECURITIES, LLC

CRD#: 302015 / SEC#: , 8-70458

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

5511 Virginia Way Suite 200, Brentwood, TN 37027

Mailing Address

5511 Virginia Way Suite 200, Brentwood, TN 37027

Phone number

(215) 694-5054

Established

Tennessee since 04/12/2019

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (18 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BAILEY & COMPANY PARENT, LLC	PARENT COMPANY/100 OWNER
BAILEY, JEFFREY LAWRENCE	MANAGING DIRECTOR/EXECUTIVE REPRESENTATIVE	3171436
BAILEY, JOHN JAMES III	MANAGING DIRECTOR/PRINCIPAL	5708044
INGRAHAM, FRANK TODD	CHIEF COMPLIANCE OFFICER	2918519
SERRA, CARL ANTHONY III	FINOP	3179039

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Benjamin J. Matz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Benjamin John Matz's CRS (Customer Relationship Summary).

Certified licenses

Experience

B. RILEY SECURITIES, INC.

HURON TRANSACTION ADVISORY LLC

EIGHT PINES SECURITIES LLC

RABO SECURITIES USA, INC.

MESIROW FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/28/2012

SIE

Date: 10/1/2018

Series 79

Date: 5/6/2015

Series 7

Date: 12/14/2010

Series 24

Date: 3/28/2016

FINRA

Current Firm

BAILEY & CO. SECURITIES, LLC

Contact information

FINRA licenses (18 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BAILEY & CO. SECURITIES, LLC

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