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Home > Financial Services > Stock Brokers > Matrix U.S.A., Llc
Matrix U.S.A., Llc
Matrix U.S.A., Llc is a member of NASD, the National Association of Securities Dealers. NASD is a self-regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.
The Company was founded in 1994, Matrix USA, LLC is a national financial services company providing leading edge expertise and services in investment banking, institutional brokerage, asset management and private wealth management. Its clients are high net-worth individuals and families, corporations, investment advisors and fund managers in the U.S. and abroad.
Matrix USA offers a combination of the resources and institutional access of an investment bank, as well as the proprietary investment strategies and customized solutions of a boutique firm. The Company leverages its strategic investment advisory services, institutional wisdom and entrepreneurial culture to the benefit of its clients.
Matrix USA, LLC and Stern Stewart & Co. provides and seeks to provide investment banking, consulting and other services to the companies and the officers, directors, and employees of the companies that are the subject of these reports. Addional information is available upon request. EVA and PRV it are registered trademarks of Stern Stewart and Co. Russell 3000 is a registered trademark of The Frank Russell Company. S&P is a registered trademark of The McGraw-Hill Companies.
They have prepared, and always maintain a current Business Continuity Plan in compliance with NASD Rule 3510. This document outlines their plans to continue business and meet their existing obligations to customers in the event of a Significant Business Disruption. Their plan anticipates two kinds of SBDs, internal and external. Internal SBDs affect only their firm’s ability to communicate and do business, such as a fire in our building. External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a city flood, or a wide scale, regional disruption.
Their response to an external SBD relies more heavily on other organizations and systems, especially on the capabilities of their clearing firm. They will make every reasonable effort to continue the conduct of business during any SBD, employing the use of their BCP. They plan to continue the conduct of business during any SBD unless circumstances prohibit them from doing so.
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