William E. Pickens
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.
William Euclid Pickens JR, who also goes by William E Pickens Jr, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1968. William had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2017 - October 6, 2017
BENJAMIN F. EDWARDS & COMPANY, INC.
March 6, 2017 - October 6, 2017
BENJAMIN F. EDWARDS & COMPANY, INC.
July 1, 2003 - March 7, 2017
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - March 7, 2017
WELLS FARGO CLEARING SERVICES, LLC
August 25, 1989 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 25, 1989 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 18, 1988 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
January 13, 1988 - August 8, 1988
WALNUT STREET SECURITIES, INC.
February 9, 1981 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
September 14, 1979 - February 16, 1981
MUNICIPAL SECURITIES, INCORPORATED
August 25, 1978 - June 16, 1980
STEWART-JOHNS MUNICIPAL SECURITIES, INC.
October 26, 1977 - September 22, 1978
TRANSAMERICAN SECURITIES, INC.
February 9, 1976 - December 16, 1978
G. WEEKS & CO., INC.
December 30, 1971 - April 6, 1973
HIBBARD, O'CONNOR & WEEKS, INC.
January 7, 1970 - February 18, 1971
MUNICIPAL SECURITIES INC
July 30, 1968 - February 11, 1972
NORTH AMERICAN EQUITY CORPORATION
Primary Firm SEC Registration
BENJAMIN F. EDWARDS & COMPANY, INC.
CRD#: 146936 / SEC#: 801-71421, 8-68023
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 8/1/1981
AMEX Put and Call ExamSeries 1
Date: 7/23/1968
Registered Representative ExaminationSeries 40
Date: 11/21/1976
Registered Principal ExaminationCurrent Firm
BENJAMIN F. EDWARDS & COMPANY, INC.
CRD#: 146936 / SEC#: 801-71421, 8-68023
Contact information
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 | |
| BRANDSTADT, TODD HEINRICH | DIRECTOR/DIRECTOR OF BRANCHES | 2631699 |
| EDWARDS, BENJAMIN FRANKLIN | DIRECTOR/ASSISTANT DIRECTOR OF BRANCHES | 6670972 |
| EDWARDS, BENJAMIN FRANKLIN IV | CHAIRMAN/CHIEF EXECUTIVE OFFICER, PRESIDENT | 1061490 |
| EGGLESTON, BROOKE DANIELLE | DIRECTOR/CHIEF HUMAN RESOURCE OFFICER | 7528898 |
| KELLER, CHRISTOPHER M | DIRECTOR/DIRECTOR OF BUSINESS SERVICES | 4346617 |
| MARTIN, THOMAS HAYDEN JR | DIRECTOR/CHIEF FINANCIAL OFFICER | 1459719 |
| MUCKLER, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER, ADVISORY | 4762147 |
| RUBENSTEIN, DOUGLAS DAVID | DIRECTOR/SENIOR ADVISOR TO THE CHAIRMAN | 1138380 |
| STEVENS, KATELYN CLARE | CHIEF COMPLIANCE OFFICER, BROKERAGE | 5752247 |
| TAYLOR, GWENDOLYN MADISON | DIRECTOR/CHIEF LEGAL COUNSEL | 4812432 |
| 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 | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2025 | ||
| 01/23/2025 | ||
| 12/20/2023 |
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.
