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Current Employers
Benjamin F. Edwards & Company, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-01-09
LA RA APPROVED 2018-08-17
  • TX RA
    APPROVED_RES
    Since 2019-01-09
  • LA RA
    APPROVED
    Since 2018-08-17

Branch Locations

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

7607 Fern Avenue Suite 102, Shreveport, LA 71105 • United States

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

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
Wells Fargo Advisors Llc Shreveport LA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Shreveport LA 11/2016 08/2018
Benjamin F Edwards Shreveport LA 08/2018 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Shreveport, LA
  • 11/2016 → 08/2018
    Shreveport, LA
  • 08/2018 → Present
    Benjamin F Edwards
    Shreveport, LA
Previous Registrations
Other Businesses

1)RENTAL PROPERTY; INV RELATED; SHREVEPORT, LA; FAMILY LAND HOLDING COMPANY; 50% OWNERSHIP (OTHER 50% OWNED BY BROTHER); START 9/15/2015; 0 HOURS PER MONTH, 0 DURING TRADING; MEMBER, MAKE JOINT BUSINESS DECISIONS. 2)LOUISIANA TECH UNIVERSITY COLLEGE OF BUSINESS - P.O. BOX 10318, RUSTON, LA 71272. BOARD MEMBER - COLLEGE OF BUSINESS STUDENT MANAGED INVESTMENT FUND ADVISORY BOARD, INVESTMENT-RELATED, START DATE: 02/27/2019, 1 HOUR PER MONTH, 1 HOUR DURING TRADING HOURS. 3)CEO BREAKFAST GROUP; NOT INVESTMENT-RELATED; SHREVEPORT, LA 71105; BUSINESS BREAKFAST GROUP; BOARD MEMBER; START DATE: 5/14/2026; 1 HOUR/MONTH; 1 HOUR DURING TRADING HOURS; GO OVER ATTENDANCE, NEW MEMBER REQUESTS, RESIGNATIONS, POSSIBLE CONFLICTS, ETC AND DISCUSS OFFSITE MEETING LOCATIONS AND OTHER SOCIAL EVENTS

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-12-06
S65 Uniform Investment Adviser Law Examination 1995-12-06
  • S63 Uniform Securities Agent State Law Examination
    1995-12-06
  • S65 Uniform Investment Adviser Law Examination
    1995-12-06
Other Names
  • William S Sumlin
  • Shane Sumlin

View on SEC IAPD

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