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Detailed Report
MAURICE MATHY
MOE MATHY
CRD#: 1840044
IA
Investment Adviser
B
Broker
BENJAMIN F. EDWARDS & COMPANY, INCORPORATEDCRD#: 146936 2056 Westings Ave.
Suite 360
Naperville, IL 60563
Registration History
199019952000200520102015202020252 FIRMS1999 - 2009 (9 years)2 FIRMS2009 - 2016 (6 years)2 FIRMS2016 - Present (9 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1988 - 1999 (11 years)
License(s)

State Registrations

B
Arizona 1/29/2016
B
Michigan 1/29/2016
B
California 1/14/2022
B
Missouri 1/29/2016
B
Florida 1/29/2016
B
New Jersey 1/29/2016
B
Georgia 1/29/2016
B
North Carolina 1/29/2016
B
Illinois 1/29/2016
B
Tennessee 1/29/2016
IA
Illinois 1/29/2016
B
Texas 1/29/2016
B
Indiana 1/29/2016
IA
Texas 6/15/2016
B
Kansas 11/14/2019
B
Utah 1/29/2016
B
Maine 3/16/2017
B
Wisconsin 1/29/2016

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED (CRD#:146936)
2056 Westings Ave. Suite 360, Naperville, IL 60563
Registered with this firm since 1/29/2016
B
BENJAMIN F. EDWARDS & COMPANY, INC. (CRD#:146936)
2056 Westings Ave. Suite 360, Naperville, IL 60563
Registered with this firm since 1/29/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 02/03/2016 MORGAN STANLEY (CRD#:149777) NAPERVILLE, IL
B
 06/01/2009 - 02/03/2016 MORGAN STANLEY (CRD#:149777) NAPERVILLE, IL
IA
 10/19/1999 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NAPERVILLE, IL
B
 09/10/1999 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NAPERVILLE, IL
B
 07/19/1988 - 09/21/1999 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.