MP
Malcolm A. Peeler
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CRD#: 1030672
MP
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Malcolm Andy Peeler, who also goes by Malcolm Andrew Peeler, Malcom Andy Peeler, was a registered financial professional .
Malcolm is a previously registered financial professional and started their career in finance in 1982. Malcolm had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Malcolm Andrew Peeler | Malcom Andy Peeler
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)PEELER PROPERTIES - INVESTMENT RELATED - 217 WILKINS JONESBORO, AR - 50% OWNER - FARMING, REAL ESTATE DVP - 1/1995 - 5 HOURS PER MONTH - 0 HOURS DURING SECURITIES TRADING HOURS; 2)PYGMALION INVESTMENTS - INVESTMENT RELATED - 217 WILKINS JONESBORO, AR - 33% OWNER IN COMMERCIAL REAL ESTATE -3/1999 - 1 HOUR PER MONTH - 0 HOURS DURING SECURITIES TRADING HOURS; 3)BIG ISLAND HUNTING CLUB - SECRETARY/TREASURER - NOT INVESTMENT RELATED -217 WILKINS JONESBORO, AR - HUNTING & FISHING CLUB - 1993 - 10 TO 15 HOURS PER YEAR - 0 HOURS DURING SECURITIES TRADING HOURS; 4)KAMELOT LTD - INVESTMENT RELATED - LONG BAY, TORTOLA/ISLAND OF NEVIS - VACATION HOME - CO/OWNER - 5/01/96 - 5 HOURS PER MONTH - 1 HOURS DURING TRADING HOURS; 5)BETSY LEDBETTER ASKEW ESTATE - 217 WILKINS, JONESBORO, AR - NOT INVESTMENT RELATED - EXECUTOR - SETTLING REMAINDER OF ESTATE FOR DR. ASKEW - JULY 2008 - 1 HOUR MONTHLY DEVOTED TO THE OTHER BUSINESS - POSSIBLY DURING NORMAL WORKING HOURS; 6)ARKANSAS COMMUNITY FOUNDATION, BOARD OF DIRECTORS, INVESTMENT RELATED, 5 HOURS PER MONTH, 4 DURING MARKET HOURS.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
September 9, 2016 - January 17, 2024
BENJAMIN F. EDWARDS & COMPANY, INC.
RIA
CRD#: 146936
Jonesboro, AR
Past
September 9, 2016 - January 17, 2024
BENJAMIN F. EDWARDS & COMPANY, INC.
BD
CRD#: 146936
Jonesboro, AR
Past
August 15, 2008 - September 15, 2016
STEPHENS
RIA
CRD#: 3496
JONESBORO, AR
Past
August 15, 2008 - September 15, 2016
STEPHENS
BD
CRD#: 3496
JONESBORO, AR
Past
January 1, 2008 - August 28, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
JONESBORO, AR
Past
January 1, 2008 - August 28, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
JONESBORO, AR
Past
May 21, 2001 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
JONESBORO, AR
Past
March 1, 1982 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
JONESBORO, AR
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BF
BENJAMIN F. EDWARDS & COMPANY, INC.
BENJAMIN F. EDWARDS | MSHB, LLC | MSHB | BENJAMIN F. EDWARDS & COMPANY, LLC | BENJAMIN F. EDWARDS & COMPANY, INCORPORATED | BENJAMIN F. EDWARDS & COMPANY, INC. | BENJAMIN F. EDWARDS & COMPANY
CRD#: 146936 / SEC#: 801-71421, 8-68023
RIA
Registered Investment Advisory firm - SEC (5/6/2010 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
BF
BENJAMIN F. EDWARDS & COMPANY, INC.
BENJAMIN F. EDWARDS | MSHB, LLC | MSHB | BENJAMIN F. EDWARDS & COMPANY, LLC | BENJAMIN F. EDWARDS & COMPANY, INCORPORATED | BENJAMIN F. EDWARDS & COMPANY, INC. | BENJAMIN F. EDWARDS & COMPANY
CRD#: 146936 / SEC#: 801-71421, 8-68023
RIA
Registered Investment Advisory firm - SEC (5/6/2010 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One North Brentwood Blvd, Suite 850 Suite 850, St. Louis, MO 63105
Mailing Address
One North Brentwood Blvd, Suite 850, St. Louis, MO 63105
Phone number
(314) 726-1600
Established
Missouri since 08/19/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
736
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BENJAMIN EDWARDS, INC. | OWNER | |
| BAUMANN, NEAL JAMES | DIRECTOR/REGIONAL DIRECTOR | 1480636 |
| BRANDSTADT, TODD HEINRICH | DIRECTOR/DIRECTOR OF BRANCHES | 2631699 |
| DELINIERE, ROLAND HAROLD | DIRECTOR/REGIONAL DIRECTOR | 1038322 |
| EDWARDS, BENJAMIN FRANKLIN | DIRECTOR/ASSISTANT DIRECTOR OF BRANCHES | 6670972 |
| EDWARDS, BENJAMIN FRANKLIN IV | CHAIRMAN/CHIEF EXECUTIVE OFFICER, PRESIDENT | 1061490 |
| FELLOWS, MARK PATTERSON | DIRECTOR/REGIONAL DIRECTOR | 1600661 |
| HANSON, DAVID WILLIAM | DIRECTOR | 715793 |
| KELLER, CHRISTOPHER M | DIRECTOR/DIRECTOR OF OPERATIONS, TECHNOLOGY & ANALYTICS | 4346617 |
| MARTIN, THOMAS HAYDEN JR | DIRECTOR/CHIEF FINANCIAL OFFICER | 1459719 |
| MUCKLER, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER, ADVISORY | 4762147 |
| RUBENSTEIN, DOUGLAS DAVID | DIRECTOR/COO AND DIRECTOR OF CAPITAL MARKETS | 1138380 |
| SALAMON, MATTHEW R | DIRECTOR/CORPORATE SECRETARY & DIRECTOR OF LAW & LEGAL SERVICES, CHIEF COUNSEL | 1858581 |
| STEVENS, KATELYN CLARE | CHIEF COMPLIANCE OFFICER, BROKERAGE | 5752247 |
| WELKER, JOANNE MARIE | DIRECTOR/MANAGER ADVISORY SERVICES | 2300075 |
| WHITING, CHRISTOPHER MARK | DIRECTOR OF FINANCIAL STRATEGIES GROUP | 2242513 |
| WISDOM, BILLY JOE | DIRECTOR/DIRECTOR OF REGULATORY & OVERSIGHT SERVICES | 1810908 |
Regulatory assets under management
| Total Number of Accounts | 49,475 |
| AUM (Assets Under Management) | $ 15,656,482,908 |
Disclosures
| Regulatory Event | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/20/2023 | ||
| 10/28/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
