DM
Dawn R. Moscoe
BENJAMIN F. EDWARDS & COMPANY
Lexington, KY 40503
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CRD#: 1171020
DM
Professional summary
Dawn Renee Moscoe, who also goes by Dawn Renee Miller, is a registered financial advisor currently at BENJAMIN F. EDWARDS & COMPANY, INC. located in Lexington, Kentucky.
Dawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Dawn has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dawn Renee Miller
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.
Kentucky Softball Hall of Fame, invest-related, Treasurer of the Kentucky Softball Hall of Fame, 3 hrs/month with zero during trading hrs, duties include will be responsible for the finances of the organization. No transactions can occur without the approval of the board and another signature on any checks for the account.
CRS (Client Relationship Summary) - RIA
Click below to view Dawn Renee Moscoe's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dawn Renee Moscoe's CRS (Customer Relationship Summary).
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
Current
July 13, 2022 - Present
BENJAMIN F. EDWARDS & COMPANY, INC.
Office #1: 771 Corporate Drive Suite 605, Lexington, KY 40503RIA
BD
CRD#: 146936
Lexington, KY
Current
July 13, 2022 - Present
BENJAMIN F. EDWARDS & COMPANY, INC.
Office #1: 771 Corporate Drive Suite 605, Lexington, KY 40503RIA
BD
CRD#: 146936
Lexington, KY
Past
October 18, 2019 - July 18, 2022
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
LEXINGTON, KY
Past
October 18, 2019 - July 18, 2022
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
LEXINGTON, KY
Past
April 24, 2009 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
LEXINGTON, KY
Past
April 24, 2009 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LEXINGTON, KY
Past
January 22, 2004 - May 14, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
LEXINGTON, KY
Past
July 31, 1993 - May 14, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
LEXINGTON, KY
Past
May 14, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
May 22, 1986 - May 14, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/13/2022)
RR
Arizona(7/13/2022)
RR
Arkansas(7/13/2022)
RR
Florida(7/13/2022)
RR
Georgia(7/13/2022)
RR
Iowa(6/12/2025)
RR
Kentucky(7/13/2022)
IAR
Kentucky(7/13/2022)
RR
Michigan(7/13/2022)
RR
Mississippi(7/13/2022)
RR
Missouri(7/13/2022)
RR
North Carolina(7/13/2022)
RR
Pennsylvania(6/13/2025)
RR
South Carolina(7/13/2022)
RR
Tennessee(7/13/2022)
RR
Texas(7/13/2022)
RR
Virginia(7/13/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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.
Company Information
BENJAMIN F. EDWARDS & COMPANY, INC.
CRD#: 146936Lexington, KY 40503TRUST BUT VERIFY
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Contact information
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