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Employer firm

Benjamin F. Edwards & Company, Inc. CRD 146936

$18.9B regulatory AUM 23 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Benjamin F. Edwards & Company, Inc.

One North Brentwood Boulevard Suite 850, St. Louis, MO 63105 • United States

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2022-05-18
  • AL RA
    APPROVED
    Since 2022-05-18

Branch Locations

401 Elba Hwy, Troy, AL 36079 • United States

One North Brentwood Blvd, Suite 850, St. Louis, MO 63105 • USA

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
American Fidelity Assurance Oklahoma City OK 06/2012 10/2020
Wells Fargo Clearing Services Llc. Troy AL 10/2020 05/2022
Tyson Pugh Farm Troy AL 03/2016 Present
Benjamin F. Edwards Troy AL 05/2022 Present
  • 06/2012 → 10/2020
    American Fidelity Assurance
    Oklahoma City, OK
  • 10/2020 → 05/2022
    Troy, AL
  • 03/2016 → Present
    Tyson Pugh Farm
    Troy, AL
  • 05/2022 → Present
    Benjamin F. Edwards
    Troy, AL
Previous Registrations
Other Businesses

TYSON PUGH CATTLE OPERATION; NOT INVESTMENT RELATED; TROY,AL; 100% OWNERSHIP; START DATE 03/01/2016; NUMBER OF HOURS PER MONTH 25; NUMBER OF HOURS DURING TRADING 0; SELLING AND MAINTAINING CATTLE.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-02-08
S63 Uniform Securities Agent State Law Examination 2014-05-30
  • S66 Uniform Combined State Law Examination
    2021-02-08
  • S63 Uniform Securities Agent State Law Examination
    2014-05-30
Other Names
  • Tyson R Pugh
  • Tyson Pugh

View on SEC IAPD

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