JN
Julie A. Nawrocki
BENJAMIN F. EDWARDS & COMPANY
Red Bank, NJ 07701
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CRD#: 4331108
JN
Professional summary
Julie Ann Nawrocki, who also goes by Julie A Nawrocki, is a registered financial advisor currently at BENJAMIN F. EDWARDS & COMPANY, INC. located in Red Bank, New Jersey.
Julie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Julie has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Julie A Nawrocki
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Julie Ann Nawrocki's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Julie Ann Nawrocki'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
January 24, 2014 - Present
BENJAMIN F. EDWARDS & COMPANY, INC.
Office #1: 125 Half Mile Road, Suite 104, Red Bank, NJ 07701RIA
BD
CRD#: 146936
Red Bank, NJ
Current
January 22, 2014 - Present
BENJAMIN F. EDWARDS & COMPANY, INC.
Office #1: 125 Half Mile Road, Suite 104, Red Bank, NJ 07701RIA
BD
CRD#: 146936
Red Bank, NJ
Past
March 7, 2011 - February 7, 2014
GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC
RIA
CRD#: 133088
RED BANK, NJ
Past
August 10, 2010 - February 7, 2014
GARDEN STATE SECURITIES, INC.
BD
CRD#: 10083
RED BANK, NJ
Past
June 1, 2009 - October 8, 2009
MORGAN STANLEY
RIA
CRD#: 149777
TOMS RIVER, NJ
Past
June 1, 2009 - October 8, 2009
MORGAN STANLEY
BD
CRD#: 149777
TOMS RIVER, NJ
Past
October 23, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
TOMS RIVER, NJ
Past
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
TOMS RIVER, NJ
Past
May 30, 2001 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
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(1/22/2014)
RR
Arizona(1/22/2014)
RR
Arkansas(2/2/2021)
RR
California(1/22/2014)
RR
Colorado(1/22/2014)
RR
Connecticut(1/22/2014)
RR
Delaware(1/22/2014)
RR
District of Columbia(1/2/2024)
RR
Florida(1/22/2014)
RR
Georgia(1/22/2014)
RR
Idaho(1/22/2014)
RR
Illinois(1/22/2014)
RR
Indiana(1/22/2014)
RR
Iowa(1/22/2014)
RR
Kansas(1/22/2014)
RR
Maine(1/22/2014)
RR
Maryland(1/22/2014)
RR
Massachusetts(1/22/2014)
RR
Missouri(1/22/2014)
RR
Nevada(1/22/2014)
RR
New Hampshire(1/29/2015)
IAR
New Jersey(1/24/2014)
RR
New Jersey(1/27/2014)
RR
New Mexico(1/29/2015)
RR
New York(1/22/2014)
RR
North Carolina(1/22/2014)
RR
Ohio(1/22/2014)
RR
Oregon(1/22/2014)
RR
Pennsylvania(1/22/2014)
RR
South Carolina(1/22/2014)
RR
Tennessee(1/22/2014)
RR
Texas(1/22/2014)
RR
Utah(2/2/2021)
RR
Vermont(1/22/2014)
RR
Virginia(1/22/2014)
RR
Washington(1/22/2014)
RR
West Virginia(1/22/2014)
RR
Wisconsin(1/2/2024)
RR
Wyoming(1/22/2014)
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
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.
