EB
Eric C. Brown
BENJAMIN F. EDWARDS & COMPANY
Middletown, RI 02842
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CRD#: 1920267
EB
Professional summary
Eric Christopher Brown, CFP® is a registered financial advisor currently at BENJAMIN F. EDWARDS & COMPANY, INC. located in Middletown, Rhode Island.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Eric has worked at 7 firms and has passed the Series 65, Series 63, SIE 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.
RENTAL PROPERTY, INV RELATED, NEWRY, ME, 100% OWNERSHIP WITH SPOUSE, START 1/31/2019, ZERO HOURS PER MONTH, ZERO DURING TRADING, NO DUTIES.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Christopher Brown's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eric Christopher Brown'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®
CFP®
Start date: 2007
Experience
Current
May 23, 2024 - Present
BENJAMIN F. EDWARDS & COMPANY, INC.
Office #1: 272 Valley Rd Suite 1, Middletown, RI 02842RIA
BD
CRD#: 146936
Middletown, RI
Current
May 23, 2024 - Present
BENJAMIN F. EDWARDS & COMPANY, INC.
Office #1: 272 Valley Rd Suite 1, Middletown, RI 02842RIA
BD
CRD#: 146936
Middletown, RI
Past
January 1, 2008 - May 29, 2024
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NEWPORT, RI
Past
January 1, 2008 - May 29, 2024
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NEWPORT, RI
Past
August 23, 2005 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
MIDDLETOWN, RI
Past
August 23, 2005 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
MIDDLETOWN, RI
Past
July 19, 2005 - August 29, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
MIDDLETOWN, RI
Past
July 10, 2000 - August 29, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
June 6, 1994 - July 24, 2000
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
October 31, 1990 - June 9, 1994
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
March 21, 1989 - November 5, 1990
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
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
Arizona(5/23/2024)
RR
California(5/23/2024)
RR
Colorado(5/23/2024)
RR
Connecticut(5/23/2024)
RR
District of Columbia(5/23/2024)
RR
Florida(5/23/2024)
RR
Georgia(5/23/2024)
RR
Maine(5/23/2024)
RR
Maryland(5/23/2024)
RR
Massachusetts(5/23/2024)
RR
New Hampshire(5/23/2024)
RR
New Jersey(5/23/2024)
RR
New York(5/23/2024)
RR
North Carolina(5/23/2024)
RR
Oregon(5/23/2024)
RR
Pennsylvania(5/23/2024)
RR
Rhode Island(5/23/2024)
IAR
Rhode Island(5/23/2024)
RR
South Dakota(5/23/2024)
RR
Tennessee(5/23/2024)
RR
Vermont(5/23/2024)
RR
Virginia(5/23/2024)
Exams
State Security Law Exam
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#: 146936Middletown, RI 02842TRUST BUT VERIFY
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Contact information
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