Benjamin S. Dubois
Professional summary
Benjamin Steven Dubois, who also goes by Benjamin Steven Dubois, is a registered financial professional currently at MOELIS & COMPANY LLC located in Houston, Texas.
Benjamin is registered as a RR (Registered Representative) and started their career in finance in 2015. Benjamin has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Steven Dubois's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 31, 2024 - Present
MOELIS & COMPANY LLC
Office #1: 845 Texas Ave 22nd Floor, Houston, TX 77002September 20, 2022 - February 6, 2024
GUGGENHEIM SECURITIES, LLC
June 9, 2021 - August 23, 2022
CITIGROUP GLOBAL MARKETS INC.
December 7, 2015 - December 17, 2020
BMO CAPITAL MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/31/2024)
Exams
Series 7TO
Date: 1/30/2025
General Securities Representative ExaminationFINRA
Current Firm
MOELIS & COMPANY LLC
CRD#: 145115 / SEC#: , 8-67705
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOELIS & COMPANY GROUP LP | PARENT COMPANY | |
| CALLESANO, CHRIS PETER | CFO, PRINCIPAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4889259 |
| MAHMOODZADEGAN, NAVID ALI | CHIEF EXECUTIVE OFFICER | 2609804 |
| MOELIS, KENNETH DAVID | EXECUTIVE CHAIRMAN | 1015047 |
| PILCHER CIAFONE, KATHERINE CELY | CHIEF OPERATING OFFICER | 4573006 |
| RAICH, JEFFREY ALAN | EXECUTIVE VICE CHAIRMAN | 2016620 |
| WATANABE, OSAMU RICHARD | CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER | 2875185 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
MOELIS & COMPANY LLC
CRD#: 145115Houston, TX 77002TRUST BUT VERIFY
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