BENJAMIN F. EDWARDS & COMPANY, INC.

HTTPS://TWITTER.COM/GROWWITHBFEC ST. LOUIS, MO Investment Advisor Broker-Dealer How do I update this listing?

Also known as:

  • BENJAMIN F EDWARDS & COMPANY

Benjamin F. Edwards & Company is based out of St. Louis. Benjamin F. Edwards & Company is a large advisory firm with 18098 clients and discretionary assets under management (AUM) of $2,636,909,054 (Form ADV from 2018-06-01). Their last reported 13F filing for Q1 2019 included $1,103,764,000 in managed 13F securities and a top 10 holdings concentration of 21.46%. Benjamin F. Edwards & Company's largest holding is iShares S&P 500 Growth ETF with shares held of 212,272. Whalewisdom has at least 24 13F filings

Download 13F Summary to Excel Create Email Alert

03/31/2019

13F Sector Allocation Over Time

03/31/2019

13F Activity

  • Market Value $1.104 Billion
  • Prior Market Value $964.378 Million
  • New Purchases119 stocks
  • Additional Purchases603 stocks
  • Sold out of112 stocks
  • Reduced holdings in417 stocks
  • Top 10 Holdings % 21.46 %
  • Turnover % [1]:13.45%
  • Turnover Alt % [2]: 12.84 %
  • Time Held Top20:5.20 quarters
  • Time Held Top10:5.00 quarters
  • Time Held All:11.33 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-05-15

Performance for Q1 2019: 2.98%
Performance Last 4 Quarters: 2.9%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

Refresh Advanced Export Download CSV Download Excel (.xlsx) Download TSV
Filter by:

Security Types:

Refresh
*Shares are split adjusted
Click here to report any possible errors with this listing.
13F Filings Available:
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
BENJAMIN EDWARDS INC

View Last Form Adv Compilation Report on Record

BENJAMIN F. EDWARDS & COMPANY, INCORPORATED
ONE NORTH BRENTWOOD BOULEVARD SUITE 850
ST. LOUIS MO    63105
Country: United States

Business Phone: 314-726-1600
Fax: 314-726-1601
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: MO
Number of employees: 432
Other Business Activities: broker-dealer,insurance broker or agent,registered municipal advisor
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 2,031,600,000
Total Number of Clients: 18098
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.A (2),11.C (1),11.C (2),11.C (4),11.C (5),11.D (1),11.D (2),11.D (4),11.D (5),11.E (1),11.E (2),11.E (4)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

Sign in to see

Form 4 - Recent Insider Transactions

Loading...

BENJAMIN F. EDWARDS & COMPANY, INCORPORATED

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
EDWARDS, BENJAMIN FRANKLIN IV CHAIRMAN/CHIEF EXECUTIVE OFFICER, PRESIDENT 08/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
BFE ASSET MANAGEMENT, LLC MANAGING MEMBER, CHIEF EXECUTIVE OFFICER direct 2008-05-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED CHAIRMAN/CHIEF EXECUTIVE OFFICER, PRESIDENT direct 2008-08-01
EDWARDS AG TRUST CO FSB DIRECTOR direct 1998-08-01 2002-04-01
EDWARDS A G CAPITAL INC DIRECTOR direct 1999-03-01 2002-04-30
A. G. EDWARDS & SONS, INC. DIRECTOR, VICE CHAIRMAN, PRESIDENT; DIRECTOR, VICE CHAIRMAN AND PRESIDENT OF THE HOLDING COMPANY direct 1994-02-01 2002-07-26
A. G. EDWARDS & SONS, INC. DIRECTOR, VICE CHAIRMAN, ; DIRECTOR, VICE CHAIRMAN OF THE HOLDING COMPANY direct 1994-02-01 2004-08-20
A. G. EDWARDS & SONS, INC. DIRECTOR direct 1994-02-01 2007-11-09
MSHB, LLC SOLE MEMBER, CHIEF EXECUTIVE OFFICER direct 2008-05-01 2008-06-09
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED CEO/PRESIDENT direct 2008-08-01 2013-08-05
BOHME, CYNTHIA LYN DIRECTOR/CORPORATE SECRETARY & DIRECTOR OF STAFF DIVISION 08/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
MSHB, LLC CHIEF COMPLIANCE OFFICER/MANAGER/OPERATING/FINANCIAL OFFICER direct 2008-05-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED SECRETARY/CAO direct 2008-08-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/CORPORATE SECRETARY/CHIEF ADMINISTRATIVE OFFICER direct 2008-08-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/CORPORATE SECRETARY & DIRECTOR OF STAFF DIVISION direct 2008-08-01
BFE ASSET MANAGEMENT, LLC CAO & FINANCIAL OFFICER direct 2008-05-01
BFE ASSET MANAGEMENT, LLC OPERATING & FINANCIAL OFFICER direct 2009-07-01
COLE, EDGAR ALLEN II DIRECTOR/EXECUTIVE DIRECTOR OF LAW & COMPLIANCE/CHIEF COUNSEL 11/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WACHOVIA SECURITIES FINANCIAL NETWORK, LLC IA CHIEF COMPLIANCE OFFICER direct 2008-03-01
WACHOVIA SECURITIES, LLC IA=ONLY CHIEF COMPLIANCE OFFICER direct 2008-03-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED CHIEF COMPLIANCE OFFICER direct 2008-11-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/EXECUTIVE DIRECTOR OF LAW & COMPLIANCE/CHIEF COUNSEL direct 2008-11-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/CHIEF COMPLIANCE OFFICER & COUNSEL direct 2008-11-01
BFE ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2009-07-01
BENJAMIN EDWARDS, INC. OWNER 10/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED OWNER direct 2008-10-01
BFE ASSET MANAGEMENT, LLC HOLDING COMPANY direct 2008-12-01
MARTIN, THOMAS HAYDEN JR DIRECTOR/CHIEF FINANCIAL OFFICER 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED FINOP, CFO direct 2009-09-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/CHIEF FINANCIAL OFFICER direct 2009-09-01
ALTENBERGER, MARTIN WADE DIRECTOR/DIRECTOR OF BRANCHES 05/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/DIRECTOR OF BRANCH SERVICES, REGIONAL MANAGER direct 2010-05-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED SVP, MANAGER OF BRANCH SERVICES direct 2010-05-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/DIRECTOR OF BRANCHES, REGIONAL MANAGER direct 2010-05-01
KELLER, CHRISTOPHER M DIRECTOR/DIRECTOR OF OPERATIONS, TECHNOLOGY & ANALYTICS 04/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/CHIEF INFORMATION OFFICER direct 2010-04-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED SVP, DIRECTOR OF IT direct 2010-04-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/DIRECTOR OF OPERATIONS, TECHNOLOGY & ANALYTICS direct 2010-04-01
RUBENSTEIN, DOUGLAS DAVID DIRECTOR/COO AND DIRECTOR OF CAPITAL MARKETS 08/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR BUSINESS STRATEGY direct 2012-06-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/DIRECTOR OF CAPITAL MARKETS & BUSINESS STRATEGY direct 2012-06-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/COO AND DIRECTOR OF CAPITAL MARKETS direct 2016-08-01
BULLER, ROGER ALLEN DIRECTOR/REGIONAL MANAGER 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
A. G. EDWARDS & SONS, INC. DIRECTOR, SENIOR VICE PRESIDENT direct 2006-03-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/REGIONAL MANAGER direct 2010-11-01
HANSON, DAVID WILLIAM DIRECTOR 08/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/REGIONAL MANAGER direct 2013-08-01
FELLOWS, MARK PATTERSON DIRECTOR/REGIONAL MANAGER 11/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/REGIONAL MANAGER direct 2013-11-01
POWELL, LOIS MARIE MOORE DIRECTOR/REGIONAL MANAGER 11/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
A. G. EDWARDS & SONS, INC. DIRECTOR, SENIOR VICE PRESIDENT direct 2007-03-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/REGIONAL MANAGER direct 2013-11-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/DIRECTOR OF TEXAS MARKETS direct 2013-11-01
WISDOM, BILLY JOE DIRECTOR/CHIEF COMPLIANCE OFFICER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED CHIEF COMPLIANCE OFFICER direct 2015-01-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/CHIEF COMPLIANCE OFFICER direct 2015-01-01
SCHERMERHORN, CRAIG ROBERT DIRECTOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR direct 2017-06-01
WHITING, CHRISTOPHER MARK DIRECTOR OF SALES & MARKETING 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MONETA GROUP INVESTMENT ADVISORS, LLC CHIEF OPERATING OFFICER direct 2011-05-01
MONETA GROUP INVESTMENT ADVISORS, LLC CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER direct 2011-05-01
MONETA GROUP INVESTMENT ADVISORS, LLC CHIEF OPERATING OFFICER/BOARD MEMBER direct 2011-05-01
WELKER, JOANNE MARIE DIRECTOR/MANAGER ADVISORY SERVICES 11/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/MANAGER ADVISORY SERVICES direct 2013-11-01
BAUMANN, NEAL JAMES DIRECTOR/REGIONAL MANAGER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/REGIONAL MANAGER direct 2019-02-01
BRANDSTADT, TODD HEINRICH DIRECTOR 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR direct 2019-02-01
ROMACK, MALISSA E DIRECTOR 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR direct 2019-02-01
DELINIERE, ROLAND HAROLD DIRECTOR/REGIONAL MANAGER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/REGIONAL MANAGER direct 2019-02-01

BENJAMIN F. EDWARDS & COMPANY, INCORPORATED

ownership team - last updated 2018-12-03
Name Title Start Date Direct/Indirect % Ownership
EDWARDS, BENJAMIN FRANKLIN IV CHAIRMAN/CHIEF EXECUTIVE OFFICER, PRESIDENT 08/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
BFE ASSET MANAGEMENT, LLC MANAGING MEMBER, CHIEF EXECUTIVE OFFICER direct 2008-05-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED CHAIRMAN/CHIEF EXECUTIVE OFFICER, PRESIDENT direct 2008-08-01
EDWARDS AG TRUST CO FSB DIRECTOR direct 1998-08-01 2002-04-01
EDWARDS A G CAPITAL INC DIRECTOR direct 1999-03-01 2002-04-30
A. G. EDWARDS & SONS, INC. DIRECTOR, VICE CHAIRMAN, PRESIDENT; DIRECTOR, VICE CHAIRMAN AND PRESIDENT OF THE HOLDING COMPANY direct 1994-02-01 2002-07-26
A. G. EDWARDS & SONS, INC. DIRECTOR, VICE CHAIRMAN, ; DIRECTOR, VICE CHAIRMAN OF THE HOLDING COMPANY direct 1994-02-01 2004-08-20
A. G. EDWARDS & SONS, INC. DIRECTOR direct 1994-02-01 2007-11-09
MSHB, LLC SOLE MEMBER, CHIEF EXECUTIVE OFFICER direct 2008-05-01 2008-06-09
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED CEO/PRESIDENT direct 2008-08-01 2013-08-05
BOHME, CYNTHIA LYN DIRECTOR/CORPORATE SECRETARY & DIRECTOR OF STAFF DIVISION 08/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
MSHB, LLC CHIEF COMPLIANCE OFFICER/MANAGER/OPERATING/FINANCIAL OFFICER direct 2008-05-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED SECRETARY/CAO direct 2008-08-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/CORPORATE SECRETARY/CHIEF ADMINISTRATIVE OFFICER direct 2008-08-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/CORPORATE SECRETARY & DIRECTOR OF STAFF DIVISION direct 2008-08-01
BFE ASSET MANAGEMENT, LLC CAO & FINANCIAL OFFICER direct 2008-05-01
BFE ASSET MANAGEMENT, LLC OPERATING & FINANCIAL OFFICER direct 2009-07-01
COLE, EDGAR ALLEN II DIRECTOR/EXECUTIVE DIRECTOR OF LAW & COMPLIANCE/CHIEF COUNSEL 11/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WACHOVIA SECURITIES FINANCIAL NETWORK, LLC IA CHIEF COMPLIANCE OFFICER direct 2008-03-01
WACHOVIA SECURITIES, LLC IA=ONLY CHIEF COMPLIANCE OFFICER direct 2008-03-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED CHIEF COMPLIANCE OFFICER direct 2008-11-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/EXECUTIVE DIRECTOR OF LAW & COMPLIANCE/CHIEF COUNSEL direct 2008-11-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/CHIEF COMPLIANCE OFFICER & COUNSEL direct 2008-11-01
BFE ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2009-07-01
BENJAMIN EDWARDS, INC. OWNER 10/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED OWNER direct 2008-10-01
BFE ASSET MANAGEMENT, LLC HOLDING COMPANY direct 2008-12-01
MARTIN, THOMAS HAYDEN JR DIRECTOR/CHIEF FINANCIAL OFFICER 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED FINOP, CFO direct 2009-09-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/CHIEF FINANCIAL OFFICER direct 2009-09-01
ALTENBERGER, MARTIN WADE DIRECTOR/DIRECTOR OF BRANCHES 05/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/DIRECTOR OF BRANCH SERVICES, REGIONAL MANAGER direct 2010-05-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED SVP, MANAGER OF BRANCH SERVICES direct 2010-05-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/DIRECTOR OF BRANCHES, REGIONAL MANAGER direct 2010-05-01
KELLER, CHRISTOPHER M DIRECTOR/DIRECTOR OF OPERATIONS, TECHNOLOGY & ANALYTICS 04/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/CHIEF INFORMATION OFFICER direct 2010-04-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED SVP, DIRECTOR OF IT direct 2010-04-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/DIRECTOR OF OPERATIONS, TECHNOLOGY & ANALYTICS direct 2010-04-01
RUBENSTEIN, DOUGLAS DAVID DIRECTOR/COO AND DIRECTOR OF CAPITAL MARKETS 08/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR BUSINESS STRATEGY direct 2012-06-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/DIRECTOR OF CAPITAL MARKETS & BUSINESS STRATEGY direct 2012-06-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/COO AND DIRECTOR OF CAPITAL MARKETS direct 2016-08-01
BULLER, ROGER ALLEN DIRECTOR/REGIONAL MANAGER 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
A. G. EDWARDS & SONS, INC. DIRECTOR, SENIOR VICE PRESIDENT direct 2006-03-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/REGIONAL MANAGER direct 2010-11-01
DUNLOP, BLAKE ROBERT DIRECTOR 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/REGIONAL MANAGER direct 2012-01-01
HANSON, DAVID WILLIAM DIRECTOR 08/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/REGIONAL MANAGER direct 2013-08-01
FELLOWS, MARK PATTERSON DIRECTOR/REGIONAL MANAGER 11/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/REGIONAL MANAGER direct 2013-11-01
WELKER, JOANNE MARIE DIRECTOR/MANAGER ADVISORY SERVICES 11/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/MANAGER ADVISORY SERVICES direct 2013-11-01
POWELL, LOIS MARIE MOORE DIRECTOR/REGIONAL MANAGER 11/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
A. G. EDWARDS & SONS, INC. DIRECTOR, SENIOR VICE PRESIDENT direct 2007-03-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/REGIONAL MANAGER direct 2013-11-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/DIRECTOR OF TEXAS MARKETS direct 2013-11-01
WISDOM, BILLY JOE DIRECTOR/CHIEF COMPLIANCE OFFICER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED CHIEF COMPLIANCE OFFICER direct 2015-01-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/CHIEF COMPLIANCE OFFICER direct 2015-01-01
SCHERMERHORN, CRAIG ROBERT DIRECTOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR direct 2017-06-01

BENJAMIN F. EDWARDS & COMPANY, INCORPORATED

ownership team - last updated 2017-12-21
Name Title Start Date Direct/Indirect % Ownership
EDWARDS, BENJAMIN FRANKLIN IV CHAIRMAN/CHIEF EXECUTIVE OFFICER, PRESIDENT 08/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
BFE ASSET MANAGEMENT, LLC MANAGING MEMBER, CHIEF EXECUTIVE OFFICER direct 2008-05-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED CHAIRMAN/CHIEF EXECUTIVE OFFICER, PRESIDENT direct 2008-08-01
EDWARDS AG TRUST CO FSB DIRECTOR direct 1998-08-01 2002-04-01
EDWARDS A G CAPITAL INC DIRECTOR direct 1999-03-01 2002-04-30
A. G. EDWARDS & SONS, INC. DIRECTOR, VICE CHAIRMAN, PRESIDENT; DIRECTOR, VICE CHAIRMAN AND PRESIDENT OF THE HOLDING COMPANY direct 1994-02-01 2002-07-26
A. G. EDWARDS & SONS, INC. DIRECTOR, VICE CHAIRMAN, ; DIRECTOR, VICE CHAIRMAN OF THE HOLDING COMPANY direct 1994-02-01 2004-08-20
A. G. EDWARDS & SONS, INC. DIRECTOR direct 1994-02-01 2007-11-09
MSHB, LLC SOLE MEMBER, CHIEF EXECUTIVE OFFICER direct 2008-05-01 2008-06-09
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED CEO/PRESIDENT direct 2008-08-01 2013-08-05
BOHME, CYNTHIA LYN DIRECTOR/CORPORATE SECRETARY & DIRECTOR OF STAFF DIVISION 08/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
MSHB, LLC CHIEF COMPLIANCE OFFICER/MANAGER/OPERATING/FINANCIAL OFFICER direct 2008-05-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED SECRETARY/CAO direct 2008-08-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/CORPORATE SECRETARY/CHIEF ADMINISTRATIVE OFFICER direct 2008-08-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/CORPORATE SECRETARY & DIRECTOR OF STAFF DIVISION direct 2008-08-01
BFE ASSET MANAGEMENT, LLC CAO & FINANCIAL OFFICER direct 2008-05-01
BFE ASSET MANAGEMENT, LLC OPERATING & FINANCIAL OFFICER direct 2009-07-01
COLE, EDGAR ALLEN II DIRECTOR/EXECUTIVE DIRECTOR OF LAW & COMPLIANCE/CHIEF COUNSEL 11/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WACHOVIA SECURITIES FINANCIAL NETWORK, LLC IA CHIEF COMPLIANCE OFFICER direct 2008-03-01
WACHOVIA SECURITIES, LLC IA=ONLY CHIEF COMPLIANCE OFFICER direct 2008-03-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED CHIEF COMPLIANCE OFFICER direct 2008-11-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/EXECUTIVE DIRECTOR OF LAW & COMPLIANCE/CHIEF COUNSEL direct 2008-11-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/CHIEF COMPLIANCE OFFICER & COUNSEL direct 2008-11-01
BFE ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2009-07-01
BENJAMIN EDWARDS, INC. OWNER 10/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED OWNER direct 2008-10-01
BFE ASSET MANAGEMENT, LLC HOLDING COMPANY direct 2008-12-01
MARTIN, THOMAS HAYDEN JR DIRECTOR/CHIEF FINANCIAL OFFICER 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED FINOP, CFO direct 2009-09-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/CHIEF FINANCIAL OFFICER direct 2009-09-01
TYLKA, ALBERT JOSEPH JR DIRECTOR/DIRECTOR, BUSINESS OPERATIONS 07/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED SVP, DIRECTOR OF OPERATIONS direct 2010-07-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/DIRECTOR OF OPERATIONS direct 2010-07-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/DIRECTOR, BUSINESS OPERATIONS direct 2010-07-01
ALTENBERGER, MARTIN WADE DIRECTOR/DIRECTOR OF BRANCHES, REGIONAL MANAGER 05/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/DIRECTOR OF BRANCH SERVICES, REGIONAL MANAGER direct 2010-05-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED SVP, MANAGER OF BRANCH SERVICES direct 2010-05-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/DIRECTOR OF BRANCHES, REGIONAL MANAGER direct 2010-05-01
KELLER, CHRISTOPHER M DIRECTOR/DIRECTOR OF OPERATIONS, TECHNOLOGY & ANALYTICS 04/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/CHIEF INFORMATION OFFICER direct 2010-04-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED SVP, DIRECTOR OF IT direct 2010-04-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/DIRECTOR OF OPERATIONS, TECHNOLOGY & ANALYTICS direct 2010-04-01
RUBENSTEIN, DOUGLAS DAVID DIRECTOR/COO AND DIRECTOR OF CAPITAL MARKETS 08/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR BUSINESS STRATEGY direct 2012-06-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/DIRECTOR OF CAPITAL MARKETS & BUSINESS STRATEGY direct 2012-06-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/COO AND DIRECTOR OF CAPITAL MARKETS direct 2016-08-01
CHRISTENSEN, KORTNEY JUSTINE DIRECTOR/DIRECTOR OF SALES & MARKETING 08/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR OF SALES & MARKETING direct 2013-08-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/DIRECTOR OF SALES & MARKETING direct 2013-08-01
BULLER, ROGER ALLEN DIRECTOR/REGIONAL MANAGER 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
A. G. EDWARDS & SONS, INC. DIRECTOR, SENIOR VICE PRESIDENT direct 2006-03-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/REGIONAL MANAGER direct 2010-11-01
PETTY, JOSEPH EDWARD DIRECTOR/REGIONAL MANAGER 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/REGIONAL MANAGER direct 2012-10-01
DUNLOP, BLAKE ROBERT DIRECTOR/REGIONAL MANAGER 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/REGIONAL MANAGER direct 2012-01-01
HANSON, DAVID WILLIAM DIRECTOR/REGIONAL MANAGER 08/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/REGIONAL MANAGER direct 2013-08-01
FELLOWS, MARK PATTERSON DIRECTOR/REGIONAL MANAGER 11/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/REGIONAL MANAGER direct 2013-11-01
WELKER, JOANNE MARIE DIRECTOR/MANAGER ADVISORY SERVICES 11/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/MANAGER ADVISORY SERVICES direct 2013-11-01
POWELL, LOIS MARIE MOORE DIRECTOR/REGIONAL MANAGER 11/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
A. G. EDWARDS & SONS, INC. DIRECTOR, SENIOR VICE PRESIDENT direct 2007-03-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/REGIONAL MANAGER direct 2013-11-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/DIRECTOR OF TEXAS MARKETS direct 2013-11-01
WISDOM, BILLY JOE DIRECTOR/CHIEF COMPLIANCE OFFICER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED CHIEF COMPLIANCE OFFICER direct 2015-01-01
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR/CHIEF COMPLIANCE OFFICER direct 2015-01-01
SCHERMERHORN, CRAIG ROBERT DIRECTOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED DIRECTOR direct 2017-06-01

Elevate your investments