JP
Joseph E. Petty
BENJAMIN F. EDWARDS & COMPANY
Chattanooga, TN 37402
Some features on this profile are disabled
CRD#: 1283892
JP
Professional summary
Joseph Edward Petty, who also goes by Ward Petty, is a registered financial advisor currently at BENJAMIN F. EDWARDS & COMPANY, INC. located in Chattanooga, Tennessee.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Joseph has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ward Petty
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.)MCALLIE SCHOOL, 500 DODDS AVE, CHATTANOOGA, TN 37402. TRUSTEE - ATTEND QUARTERLY MEETINGS AND DISCUSS DIRECTION OF THE SCHOOL. START DATE 11/8/2018, APPROX 3 HOURS PER MONTH, 3 DURING MARKET HOURS.
2.) RENTAL PROPERTY - 179 PINE NEEDLE WAY, SANTA ROSA BEACH, FL 32459. 100% OWNER W/ SPOUSE,INVESTMENT-RELATED, START DATE 12/01/2018, APPROX 5 HOURS PER MONTH, 0 DURING MARKET HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Edward Petty's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Edward Petty'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 27, 2011 - Present
BENJAMIN F. EDWARDS & COMPANY, INC.
Office #1: 1101 Broad Street Suite 105, Chattanooga, TN 37402RIA
BD
CRD#: 146936
Chattanooga, TN
Current
July 25, 2011 - Present
BENJAMIN F. EDWARDS & COMPANY, INC.
Office #1: 1101 Broad Street Suite 105, Chattanooga, TN 37402RIA
BD
CRD#: 146936
Chattanooga, TN
Past
January 1, 2008 - July 26, 2011
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHATTANOOGA, TN
Past
January 1, 2008 - July 26, 2011
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHATTANOOGA, TN
Past
February 3, 2004 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
CHATTANOOGA, TN
Past
February 28, 1991 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
CHATTANOOGA, TN
Past
January 28, 1987 - March 1, 1991
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
July 26, 1984 - February 3, 1987
MORGAN STANLEY DW INC.
BD
CRD#: 7556
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(7/25/2011)
RR
Arizona(8/28/2020)
RR
Arkansas(7/25/2011)
RR
California(7/25/2011)
RR
Colorado(11/13/2014)
RR
District of Columbia(7/25/2011)
RR
Florida(7/25/2011)
RR
Georgia(7/25/2011)
RR
Hawaii(7/25/2011)
RR
Illinois(1/28/2015)
RR
Kentucky(9/30/2016)
RR
Maryland(2/26/2025)
RR
Mississippi(4/19/2012)
RR
Missouri(4/7/2017)
RR
New York(7/25/2011)
RR
North Carolina(7/25/2011)
RR
Ohio(7/25/2011)
RR
South Carolina(6/6/2017)
RR
Tennessee(7/25/2011)
IAR
Tennessee(7/27/2011)
RR
Texas(7/25/2011)
IAR
Texas(11/7/2014)
RR
Virginia(7/25/2011)
RR
Washington(7/25/2011)
RR
West Virginia(8/15/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 6/8/1990
General Securities Sales Supervisor Examination (Options Module & General Module)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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 146936Chattanooga, TN 37402TRUST BUT VERIFY
Monitor Joseph Petty
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
