BENJAMIN F. EDWARDS & COMPANY, INCORPORATED
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BENJAMIN F. EDWARDS & COMPANY, INCORPORATED
(CRD# 146936)
is an SEC-Registered Investment Advisor (RIA), headquartered in
St. Louis, MO.
The SEC approved the firm to operate as an RIA in
May 2010.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$6.7 Billion,
with discretion over
40%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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BENJAMIN F. EDWARDS & COMPANY, INCORPORATED
also reported in
Mar 2019
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432
employees,
with
351
performing advisory functions.
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A total of 72 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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BENJAMIN F. EDWARDS & COMPANY, INCORPORATED has one or more disclosure events currently on file with the SEC.
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BENJAMIN F. EDWARDS & COMPANY, INCORPORATED has Notice Filings with the following State Securities Authorities:
AK-Mar 2014, AL-Jun 2010, AR-Jun 2010, AZ-May 2010, CA-May 2010
, CO-May 2010, CT-May 2010, DC-Mar 2012, DE-Mar 2014, FL-May 2010
, GA-Jun 2010, HI-Mar 2012, IA-Jun 2010, ID-Jun 2010, IL-May 2010
, IN-May 2010, KS-Nov 2010, KY-Sep 2010, LA-Oct 2010, MA-May 2010
, MD-May 2010, ME-Jun 2010, MI-May 2010, MN-Jun 2010, MO-May 2010
, MS-Mar 2014, MT-Jun 2010, NC-May 2010, ND-Mar 2014, NE-Mar 2014
, NH-May 2010, NJ-May 2010, NM-May 2010, NV-Jun 2010, NY-May 2010
, OH-May 2010, OK-May 2010, OR-Jul 2011, PA-May 2010, PR-Apr 2016
, RI-Mar 2014, SC-May 2010, SD-Mar 2014, TN-Sep 2010, TX-May 2010
, UT-Jan 2011, VA-May 2010, VI-Mar 2014, VT-Jun 2011, WA-May 2010
, WI-May 2010, WV-May 2010, WY-Sep 2017
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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