Ben D. Bazis

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CRD#: 5630940

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.

Ben D Bazis, who also goes by Benjamin David Bazis, was a registered financial professional .

Ben is a previously registered financial professional and started their career in finance in 2009. Ben had worked at 3 firms and has passed the Series 63, Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Benjamin David Bazis

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 25, 2014 - January 3, 2017

BAZIS PRIVATE WEALTH, LLC

RIA

CRD#: 148605

OMAHA, NE

Past

February 28, 2013 - March 14, 2013

BAZIS PRIVATE WEALTH, LLC

RIA

CRD#: 148605

OMAHA, NE

Past

December 23, 2010 - February 1, 2011

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

ORLANDO, FL

Past

December 14, 2010 - February 1, 2011

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ORLANDO, FL

Past

May 6, 2009 - May 5, 2010

LPL FINANCIAL LLC

CRD#: 6413

OMAHA, NE

Past

January 2, 2009 - November 17, 2010

BAZIS PRIVATE WEALTH, LLC

RIA

CRD#: 148605

OMAHA, NE

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BAZIS PRIVATE WEALTH, LLC

BAZIS & YOUNG INVESTMENT GROUP LLC | BAZIS YOUNG INVESTMENT GROUP, LLC | BAZIS PRIVATE WEALTH, LLC | BAZIS PRIVATE WEALTH

CRD#: 148605 / SEC#: 801-107200

RIA

Registered Investment Advisory firm - (1/27/2016 Approved)

Iowa

Registered Investment Advisory firm - (1/28/2016 Terminated)

Nebraska

Registered Investment Advisory firm - (1/28/2016 Terminated)

Oklahoma

Registered Investment Advisory firm - (1/28/2016 Terminated)

Texas

Registered Investment Advisory firm - (1/28/2016 Terminated)

Virginia

Registered Investment Advisory firm - (1/29/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/12/2009

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/29/2008

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 5/5/2009

General Securities Representative Examination

Current Firm

BAZIS PRIVATE WEALTH, LLC

BAZIS & YOUNG INVESTMENT GROUP LLC | BAZIS YOUNG INVESTMENT GROUP, LLC | BAZIS PRIVATE WEALTH, LLC | BAZIS PRIVATE WEALTH

CRD#: 148605 / SEC#: 801-107200

RIA

Registered Investment Advisory firm - (1/27/2016 Approved)

Iowa

Registered Investment Advisory firm - (1/28/2016 Terminated)

Nebraska

Registered Investment Advisory firm - (1/28/2016 Terminated)

Oklahoma

Registered Investment Advisory firm - (1/28/2016 Terminated)

Texas

Registered Investment Advisory firm - (1/28/2016 Terminated)

Virginia

Registered Investment Advisory firm - (1/29/2016 Terminated)

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Contact information

Main Address

816 S. 169th Street, Omaha, NE 68118

Mailing Address

Phone number

(402) 965-3334

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PT 2A APPENDIX (6/17/2025)

PT 2A (6/17/2025)

Regulatory assets under management

Total Number of Accounts	493
AUM (Assets Under Management)	$ 216,693,486

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

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Advisor Monitoring

Firm Stability Insights

Ben D. Bazis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BAZIS PRIVATE WEALTH, LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

BAZIS PRIVATE WEALTH, LLC

Primary Firm SEC Registration

BAZIS PRIVATE WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/12/2009

Series 65

Date: 12/29/2008

Series 7

Date: 5/5/2009

Current Firm

BAZIS PRIVATE WEALTH, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BAZIS PRIVATE WEALTH, LLC

TRUST BUT VERIFY

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