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Detailed Report
QUINTEN EDWARD SPIVEY IV
BRET EDWARD SPIVEY IV, QUINTEN E IV SPIVEY
CRD#: 2554538
IA
Investment Adviser
B
Broker
BENJAMIN F. EDWARDS & COMPANY, INCORPORATEDCRD#: 146936 475 REGENCY PARK
SUITE 125
O'FALLON, IL 62269
Registration History
19952000200520102015202020252 FIRMS2012 - Present (13 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2008 - 2012 (4 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1995 - 2008 (13 years)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2010 - 2012 (1 year)
License(s)

State Registrations

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Arizona 1/3/2022
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Massachusetts 8/3/2016
B
Arkansas 8/3/2016
B
Missouri 1/11/2012
B
California 1/11/2012
B
Ohio 4/15/2022
B
District of Columbia 1/2/2025
B
Oklahoma 1/12/2022
B
Florida 1/11/2012
B
Tennessee 7/27/2020
B
Illinois 1/11/2012
B
Texas 1/11/2012
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Illinois 1/11/2012
B
Utah 8/3/2016
B
Kansas 12/7/2023
B
Virginia 3/25/2022
B
Kentucky 1/11/2012

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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BENJAMIN F. EDWARDS & COMPANY, INCORPORATED (CRD#:146936)
475 REGENCY PARK SUITE 125, O'FALLON, IL 62269
Registered with this firm since 1/11/2012
B
BENJAMIN F. EDWARDS & COMPANY, INC. (CRD#:146936)
475 REGENCY PARK SUITE 125, O'FALLON, IL 62269
Registered with this firm since 1/11/2012
Previous Registration(s)
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 08/27/2010 - 01/13/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) FAIRVIEW HEIGHTS, IL
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 01/01/2008 - 01/13/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) FAIRVIEW HEIGHTS, IL
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 01/03/1995 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) FAIRVIEW HEIGHTS, IL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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.