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Investment Adviser Firm Summary

BENJAMIN F. EDWARDS & COMPANY, INCORPORATED (CRD# 146936 / SEC# 8-68023, 801-71421)
Alternate Names: BENJAMIN F. EDWARDS & COMPANY , BENJAMIN F. EDWARDS & COMPANY, INC. , BENJAMIN F. EDWARDS & COMPANY, INCORPORATED , BENJAMIN F. EDWARDS & COMPANY, LLC , MSHB , MSHB, LLC

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/06/2010

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 06/14/2010
Alaska 03/28/2014
Arizona 05/20/2010
Arkansas 06/14/2010
California 05/06/2010
Colorado 05/06/2010
Connecticut 05/06/2010
Delaware 03/28/2014
District of Columbia 03/30/2012
Florida 05/06/2010
Georgia 06/14/2010
Hawaii 03/30/2012
Idaho 06/14/2010
Illinois 05/07/2010
Indiana 05/06/2010
Iowa 06/15/2010
Kansas 11/15/2010
Kentucky 09/27/2010
Louisiana 10/18/2010
Maine 06/14/2010
Maryland 05/20/2010
Massachusetts 05/06/2010
Michigan 05/06/2010
Minnesota 06/14/2010
Mississippi 03/28/2014
Missouri 05/06/2010
Montana 06/14/2010
Nebraska 03/28/2014
Nevada 06/25/2010
New Hampshire 05/06/2010
New Jersey 05/24/2010
New Mexico 05/06/2010
New York 05/06/2010
North Carolina 05/20/2010
North Dakota 03/28/2014
Ohio 05/06/2010
Oklahoma 05/06/2010
Oregon 07/01/2011
Pennsylvania 05/06/2010
Puerto Rico 04/26/2016
Rhode Island 03/28/2014
South Carolina 05/20/2010
South Dakota 03/28/2014
Tennessee 09/27/2010
Texas 05/06/2010
Utah 01/10/2011
Vermont 06/03/2011
Virgin Islands 03/28/2014
Virginia 05/06/2010
Washington 05/20/2010
West Virginia 05/06/2010
Wisconsin 05/06/2010
Wyoming 09/01/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser