AS
Alan J. Spilker
BENJAMIN F. EDWARDS & COMPANY
Clayton, MO 63105
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CRD#: 1283380
AS
Professional summary
Alan James Spilker is a registered financial advisor currently at BENJAMIN F. EDWARDS & COMPANY, INC. located in Clayton, Missouri.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Alan has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. ANDERSON FAMILY TRUST - GREENVILLE, SC., TRUSTEE - START DATE: 04/13/2012, 1 HOUR PER MONTH, 1 HOUR DURING TRADING HOURS, INVESTMENT RELATED 2. AMJJ ENTERPRISES - YUBA CITY, CA., REAL ESTATE 50% OWNERSHIP - START DATE: 08/31/2020, 1 HOUR PER MONTH, 0 HOURS DURING TRADING HOURS, INVESTMENT RELATED 3. SPILKER FAMILY FOUNDATION; NOT INVESTMENT-RELATED; 800 ROPER MOUNTAIN RD. GREENVILLE, SC 29615; 501 C 3 PRIVATE FAMILY CHARITABLE FOUNDATION; BOARD MEMBER; START DATE: 12/01/2021; 2 HOURS/MONTH; 1 HOUR DURING TRADING HOURS; GUIDING MY FAMILY IN PHILANTHROPIC GIVING
CRS (Client Relationship Summary) - RIA
Click below to view Alan James Spilker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alan James Spilker'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
December 1, 2020 - Present
BENJAMIN F. EDWARDS & COMPANY, INC.
Office #1: 1 N. Brentwood Blvd. Suite 510, Clayton, MO 63105RIA
BD
CRD#: 146936
Clayton, MO
Current
December 1, 2020 - Present
BENJAMIN F. EDWARDS & COMPANY, INC.
Office #1: 1 N. Brentwood Blvd. Suite 510, Clayton, MO 63105RIA
BD
CRD#: 146936
Clayton, MO
Past
August 28, 2013 - December 24, 2020
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
Greenville, SC
Past
August 28, 2013 - December 24, 2020
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
Greenville, SC
Past
October 31, 2008 - August 30, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CLAYTON, MO
Past
October 30, 2008 - August 30, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CLAYTON, MO
Past
January 14, 2003 - October 30, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
KANSAS CITY, MO
Past
January 14, 2003 - October 30, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
KANSAS CITY, MO
Past
July 8, 1997 - January 15, 2003
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
CITRUS HEIGHTS, CA
Past
September 21, 1992 - January 15, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
January 21, 1987 - September 28, 1992
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
September 13, 1985 - January 30, 1987
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Past
July 30, 1984 - September 27, 1985
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(5/20/2024)
RR
California(12/1/2020)
RR
Georgia(12/1/2020)
RR
Illinois(7/11/2024)
RR
Kansas(12/1/2020)
RR
Missouri(12/1/2020)
IAR
Missouri(12/1/2020)
RR
Nevada(12/1/2020)
RR
New York(12/1/2020)
RR
Oregon(12/1/2020)
RR
South Carolina(12/1/2020)
IAR
South Carolina(12/1/2020)
RR
Texas(12/1/2020)
IAR
Texas(12/1/2020)
RR
Virginia(5/23/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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#: 146936Clayton, MO 63105TRUST BUT VERIFY
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