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Investment Adviser Firm Summary
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED ( CRD # 146936/SEC#:801-71421,8-68023 )
BENJAMIN F. EDWARDS, MSHB, LLC, MSHB, BENJAMIN F. EDWARDS & COMPANY, LLC, BENJAMIN F. EDWARDS & COMPANY, INCORPORATED…
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

This adviser is also a brokerage firm
REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved5/6/2010
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.

JURISDICTIONEFFECTIVE DATE
Alabama6/14/2010
Alaska3/28/2014
Arizona5/20/2010
Arkansas6/14/2010
California5/6/2010
Colorado5/6/2010
Connecticut5/6/2010
Delaware3/28/2014
District of Columbia3/30/2012
Florida5/6/2010
Georgia6/14/2010
Hawaii3/30/2012
Idaho6/14/2010
Illinois5/7/2010
Indiana5/6/2010
Iowa6/15/2010
Kansas11/15/2010
Kentucky9/27/2010
Louisiana10/18/2010
Maine6/14/2010
Maryland5/20/2010
Massachusetts5/6/2010
Michigan5/6/2010
Minnesota6/14/2010
Mississippi3/28/2014
Missouri5/6/2010
Montana6/14/2010
Nebraska3/28/2014
Nevada6/25/2010
New Hampshire5/6/2010
New Jersey5/24/2010
New Mexico5/6/2010
New York5/6/2010
North Carolina5/20/2010
North Dakota3/28/2014
Ohio5/6/2010
Oklahoma5/6/2010
Oregon7/1/2011
Pennsylvania5/6/2010
Puerto Rico4/26/2016
Rhode Island3/28/2014
South Carolina5/20/2010
South Dakota3/28/2014
Tennessee9/27/2010
Texas5/6/2010
Utah1/10/2011
Vermont6/3/2011
Virgin Islands3/28/2014
Virginia5/6/2010
Washington5/20/2010
West Virginia5/6/2010
Wisconsin5/6/2010
Wyoming9/1/2017
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
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.