DD
David W. Davies
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CRD#: 61690
DD
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.
David William Davies was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1973. David had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 1, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
WATKIN GLEN MOTOR RACING RESEARCH LIBRARY, 610 SOUTH DECATUR STREET, WATKINS GLEN, NY 14891. THE TYPE OF BUSINESS IS PRESERVING THE HISTORY OF MOTORSPORTS. HOLDS TITLE AS TREASURER. DUTIES: ASSISTS W/INVESTMENT POLICY STATEMENT & MONITORING STRUCTURE & PERFORMANCE AND MEMBER OF FINANCE COMMITTEE. WORKS 10 HOURS PER MONTH & 2 DURING SECURITIES TRADING HOURS. CORNING COMMUNITY COLLEGE FOUNDATION, 1 ACADEMIC DRIVE, CORNING, NY 14830. THE TYPE OF BUSINESS: DEVELOPMENT FOUNDATION TO SUPPORT FUTURE GROWTH CORNING COMMUNITY COLLLEGE. HOLDS TITLE AS BOARD MEMBER. DUTIES: ASSISTING W/ DIRECTIONS. MEETS 5 TO 10 HOURS A YEAR AND 0 DURING TRADING HOURS. Trustee for Charitable Gift Trust, half hour per month, 0 during market hours,
Executor for family friend will, 10 hours per month, 0 during market hours.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
January 10, 2014 - December 2, 2025
BENJAMIN F. EDWARDS & COMPANY, INC.
RIA
CRD#: 146936
PAINTED POST, NY
Past
January 10, 2014 - December 2, 2025
BENJAMIN F. EDWARDS & COMPANY, INC.
BD
CRD#: 146936
PAINTED POST, NY
Past
June 12, 2008 - January 30, 2014
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
PAINTED POST, NY
Past
June 12, 2008 - January 30, 2014
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
PAINTED POST, NY
Past
January 1, 2008 - June 12, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PAINTED POST, NY
Past
January 1, 2008 - June 12, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PAINTED POST, NY
Past
November 13, 2003 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
PAINTED POST, NY
Past
August 4, 1997 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
PAINTED POST, NY
Past
August 1, 1984 - August 11, 1997
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
May 8, 1984 - August 2, 1984
J. S. BARR & CO., INC.
BD
CRD#: 1172
Past
June 23, 1980 - April 30, 1984
J. S. BARR & CO., INC.
BD
CRD#: 1172
Past
July 11, 1977 - December 10, 1984
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
Past
August 28, 1973 - July 11, 1979
F. L. PUTNAM & COMPANY, INC.
BD
CRD#: 6305
Past
August 9, 1973 - October 19, 1973
TOWNSLEY LIPTAK & COMPANY INC
BD
CRD#: 1000001
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 8/2/1979
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 8/3/1973
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/10/1985
General Securities Sales Supervisor Examination (Options Module & General Module)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.
