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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
AZ RA APPROVED 2017-01-27
TX RA APPROVED 2017-01-27
  • AZ RA
    APPROVED
    Since 2017-01-27
  • TX RA
    APPROVED
    Since 2017-01-27

Branch Locations

5445 Dtc Parkway Suite 1020, Greenwood Village, CO 80111 • United States

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

2745 S. Alma School Rd. Suite 4, Chandler, AZ 85286 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Chandler AZ 05/2009 11/2016
Wells Fargo Clearing Services, Llc Chandler AZ 11/2016 01/2017
Benjamin F. Edwards & Co. Chandler AZ 01/2017 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Chandler, AZ
  • 11/2016 → 01/2017
    Chandler, AZ
  • 01/2017 → Present
    Benjamin F. Edwards & Co.
    Chandler, AZ
Previous Registrations
Other Businesses

1ST PHORM - FENTON, MO; PREMIER SUPPLEMENT COMPANY - LEGIONNAIRE/REP; NON-INVESTMENT RELATED,START 02/05/2021, 2 HOURS PER MONTH, 0 HOURS DURING TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-05-09
S63 Uniform Securities Agent State Law Examination 1996-09-19
  • S66 Uniform Combined State Law Examination
    2011-05-09
  • S63 Uniform Securities Agent State Law Examination
    1996-09-19
Other Names
  • Theresa Carol Clemmons
  • Theresa Carol Garrisi

View on SEC IAPD

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