BENJAMIN F. EDWARDS & COMPANY, INCORPORATED of ST. LOUIS, MO is an SEC-registered investment adviser (CRD 146936). Regulatory assets under management: $18.9B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 53 people.
| Name | Role | Location |
|---|---|---|
| Benjamin Franklin Iv Edwards | CHAIRMAN/CHIEF EXECUTIVE OFFICER, PRESIDENT | — |
| Thomas Hayden Jr Martin | DIRECTOR/CHIEF FINANCIAL OFFICER | — |
| Christopher M Keller | DIRECTOR/DIRECTOR OF BUSINESS SERVICES; DIRECTOR/DIRECTOR OF OPERATIONS, TECHNOLOGY & ANALYTICS | — |
| Douglas David Rubenstein | DIRECTOR/COO AND DIRECTOR OF CAPITAL MARKETS; DIRECTOR/SENIOR ADVISOR TO THE CHAIRMAN | — |
| David William Hanson | DIRECTOR | — |
| Mark Patterson Fellows | DIRECTOR/REGIONAL DIRECTOR | — |
| Billy Joe Wisdom | DIRECTOR/DIRECTOR OF REGULATORY & OVERSIGHT SERVICES | — |
| Christopher Mark Whiting | DIRECTOR OF FINANCIAL STRATEGIES GROUP | — |
| Joanne Marie Welker | DIRECTOR/MANAGER ADVISORY SERVICES | — |
| Roland Harold Deliniere | DIRECTOR/REGIONAL DIRECTOR | — |
| Neal James Baumann | DIRECTOR/REGIONAL DIRECTOR | — |
| Katelyn Clare Stevens | CHIEF COMPLIANCE OFFICER, BROKERAGE | — |
| Matthew Paul Muckler | CHIEF COMPLIANCE OFFICER, ADVISORY | — |
| Matthew R Salamon | DIRECTOR/CORPORATE SECRETARY & DIRECTOR OF LAW & LEGAL SERVICES, CHIEF COUNSEL | — |
| Todd Heinrich Brandstadt | DIRECTOR/DIRECTOR OF BRANCHES | — |
| Benjamin Franklin Edwards | DIRECTOR/ASSISTANT DIRECTOR OF BRANCHES | — |
| MARTIN RODNEY OWEN JR | DIRECTOR/CHIEF FINANCIAL OFFICER; FINOP, CFO | — |
| REESE HAROLD MICHAEL | DIRECTOR | — |
| LONGWORTH KURT DEHOL | CHIEF OPERATING OFFICER | — |
| EDWARDS BENJAMIN FRANKLIN IV | CEO/PRESIDENT; CHAIRMAN/CHIEF EXECUTIVE OFFICER, PRESIDENT | — |
| PIETROBURGO ROBERT ANTHONY | DIRECTOR | — |
| BULLER ROGER ALLEN | DIRECTOR/REGIONAL MANAGER | — |
| POWELL LOIS MARIE MOORE | DIRECTOR/DIRECTOR OF BRANCH DEVELOPMENT; DIRECTOR/DIRECTOR OF TEXAS MARKETS; DIRECTOR/REGIONAL MANAGER | — |
| COLE EDGAR ALLEN II | CHIEF COMPLIANCE OFFICER; DIRECTOR/CHIEF COMPLIANCE OFFICER & COUNSEL; DIRECTOR/DIRECTOR OF LAW & LEGAL SERVICES, CHIEF COUNSEL (+1 more) | — |
| BECKER CYNTHIA SCHULZ | CHIEF COMPLIANCE OFFICER/MANAGER/OPERATING/FINANCIAL OFFICER; DIRECTOR/CORPORATE SECRETARY/CHIEF ADMINISTRATIVE OFFICER; SECRETARY/CAO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-01-30 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REASONABLY SUPERVISE ITS EMPLOYEES' BUSINESS-RELATED TEXT MESSAGES. THE FINDINGS STATED THAT THE FIRM'S SUPERVISORY SYSTEM, INCLUDING ITS WRITTEN PROCEDURES, WAS NOT REASONAB… | Final | $750K |
| 2021-08-20 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, HAJRA CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT HE EFFECTED NINE UNAUTHORIZED TRADES IN A DECEASED CUSTOMER'S ACCOUNT. THE FINDINGS STATED THAT THIS MATTER ORIGINATED FROM THE UNIFORM TERMINATION NOTICE FOR SECURITIES INDUSTRY REGISTRATIO… | Final | $5K |
| 2020-11-13 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION (SEC) DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED PURSUANT TO SECTION 15(B) OF THE SECURITIES EXCHANGE ACT OF 1934 (EXCHANGE ACT), AND SECTIONS 203(E) AND 203(K) OF T… | Final | $650K |
| 2019-03-11 | regulatory | IA RELEASE 40-5151 / MARCH 11, 2019: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE INSTITUTED AGAINST BENJAMIN F. EDWARDS & CO., INC. ("RESPONDENT"). ON THE BASIS OF THIS ORDER AND RESPONDENT'S OF… | Final | — |
| 2018-06-14 | regulatory | THE DEPARTMENT OF LICENSING AND REGULATORY AFFAIRS FOR THE STATE OF MICHIGAN HAS ISSUED A NOTICE OF INTENT TO DENY, CONDITION, OR LIMIT THE SECURITIES AGENT'S REGISTRATION APPLICATION IN THE STATE OF MICHIGAN UNDER SECTION 412(1) OF THE SECURITIES ACT, MCL 451.2412(1), FOR THE REASONS SET FORTH IN T… | Final | — |
| 2015-12-08 | regulatory | BASED SOLELY ON THE ACTIONS TAKEN BY FINRA IN JUNE 2014, THE STATE OF CALIFORNIA DEPARTMENT OF INSURANCE HAS ISSUED THE ORDER OF SUMMARY REVOCATION AND ISSUANCE OF RESTRICTED LICENSE. | Final | — |
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