Our Edwards

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As Executive Vice President and Director of Business Services, Chris oversees much of the firm’s back and middle office including business operations, client service, data analytics and technology. In his role, Chris serves on the firm’s executive committee and brokerage board of directors and chairs the executive committee for Edwards Wealth Management as well as the Advisory Business Steering Committee.

Chris is a graduate of Saint Louis University earning a bachelor’s degree in Management Information Systems and Marketing and he earned his Master of Business Administration degree from Webster University. Chris holds FINRA Series 7, 24 and 27 licenses and has completed the Securities Industry Institute program at The Wharton School. Prior to joining Edwards in 2009, Chris was a management consultant to Fortune 1000 companies and prior to that he was a technology leader at AG Edwards.

Chris has been married to his wife, Kerry, since 1999 and they have four sons. Together, Chris and Kerry are active in their community, including serving on not-for-profit boards, volunteering at their sons’ different schools or helping at their church. In his free time, Chris enjoys dining out with his family, physical fitness, reading and coaching/watching basketball.

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At Benjamin F. Edwards & Co., Doug is chief operating officer where he oversees the alignment and prioritization of company initiatives, leads Capital Markets initiatives for the firm which includes investment banking, new issue syndicate and trading as well as Corporate Communications. He is a member of the company’s management team and serves on the firm’s Executive Committee, is a board member and shareholder.

Doug sourced, led and participated in transactions totaling more than $50 billion over his 30 years of experience in investment banking. Before joining Benjamin F. Edwards & Co. in 2012, Doug served as the managing director and Real Estate Investment Banking Group head at Stifel Nicolaus Weisel. Doug led one of the real estate industry’s longest serving investment banking groups, which included more than 75 legacy REIT client relationships developed over his 18 years in the REIT industry.

Previously, he worked in investment banking for over 25 years at A.G. Edwards managing a variety of transactions, including leveraged buyouts, mergers and acquisitions, fairness opinions, exclusive sales and entity level and joint venture private placements. Doug executed public and private senior, subordinated and convertible debt, convertible and preferred equity, and common stock transactions for investment grade and non-investment grade companies, as well as IPOs and 144A offerings. He developed custom and comprehensive marketing programs targeted to potential and existing domestic and international retail and institutional investors.

As the managing director and Real Estate Investment Banking Group head at A.G. Edwards, Doug’s management responsibilities included the Strategy Committee, Debt Capital Markets Committee and Equity Capital Markets Committee.

Doug currently serves as an independent director on the board of a publicly traded REIT.

Doug received his M.B.A. at the John M. Olin School of Business at Washington University and his Bachelor of Arts degree, cum laude, in Economics from Lake Forest College. He holds FINRA Series 7, 24, 55, 63 and 79 securities licenses.

Doug is known by many friends and colleagues as “Ruby”, which he enjoys.

Ruby and his wife Stacy, his one and only girlfriend, met when he was 17 and she was 14.  If Ruby was asked what celebrities would draw similarities… Stacy reminds him of Mary Tyler Moore and his mom thought he looks a bit like Dustin Hoffman.  They have 2 awesome sons, David and Michael, born back in 1994 and 1996, respectively.

Like so many, family is everything to the Rubensteins.  They are avid skiers and travelers.  A weekend alone together, anywhere, is priceless.

Ruby enjoys family, friends, fun, food, fine wine and fitness.  Fitness is called upon often since one of his mottos is “life can be serious, but food, wine and travelling is fun”.

Ruby grew up in the world of A.G. Edwards with one of his mentors, Norman Handel, a grand man and father figure.”

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Bill is the Executive Vice-President, Director of Regulatory & Oversight Services and serves as the Chief Compliance Officer at Benjamin F. Edwards. His primary responsibilities include overseeing the firm’s compliance, supervision, and examination programs. He governs the firm’s written supervisory procedures, retail communications and branch office inspections for compliance with industry regulations.

Bill was instrumental in establishing the firm’s compliance curriculum and continues to develop risk management practices as the industry evolves. He is uniquely positioned to offer insight in these critical areas, having spent more than 30 years in the financial services industry.

Bill is a graduate of Webster University with a Bachelor of Arts degree in Education and Music. He holds numerous registrations, is a recipient of the FINRA Institute/Wharton School Certified Regulatory & Compliance Professional (CRCP) designation, and serves as a member of the Municipal Securities Rulemaking Board (MSRB) Professional Qualifications Advisory Committee.

Bill is a musician and enjoys woodworking.  Had he not pursued a career in financial services, you most likely would find him teaching music. In his free time, he enjoys spending time with his wife, four children and two grandchildren.

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Neal’s experience includes 32 years in the investment/brokerage sector. He currently serves as the Eastern Regional Manager, and White Plains Branch Manager at Benjamin F. Edwards & Co., while providing investment advice to his own clients. He currently serves as a member of the FINRA Continuing Education Content Committee and completed a four year term on the FINRA Continuing Education Council.

Neal has more than 23 years of management experience in the investment industry. He served as a branch manager at A. G. Edwards & Sons starting in 1996, after joining the firm in 1991. While at A. G. Edwards Neal was a frequent presenter at the A. G. Edwards University on the topics of compliance and time management for branch managers. Neal is active in the local community and serves on the boards of a number of non-profit and community organizations.

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Mark joined Benjamin F. Edwards & Co. in 2013 to open the firm’s first office in Denver and in the state of Colorado. In addition to managing the office and growing the firm’s presence in Colorado, Mark oversees branch development initiatives in the firm’s Mountain West Region, which includes Colorado, Utah, and Arizona. He is also a member of the brokerage firm’s board of directors.

He started his financial services career in 1986 at A.G. Edwards and moved into branch management five years later.

He and his wife have four children between them. When he’s not working or spending time with his family, Mark enjoys skiing, golfing and shooting, and is also a private pilot. In addition, he’s an EMT and served on the local ski patrol for 33 years. He is also involved with his church, the Boy Scouts of America and the American Heart/American Stroke Association.

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Pete joined Benjamin F. Edwards & Co. in 2011 as a vice president and products and projects analyst. In addition, he is also a member of the firm’s Product Review Committee and serves as an options, derivatives and alternative investments analyst and provides trading support to our fixed-income and equity trading desks. A keen observer of the market and the economy, Pete writes the firm’s regular “Week Ahead” commentary, which is posted on the firm’s blog, that covers factors or events that may affect the market in the coming week.

Previously, Pete enjoyed an expansive 25-year career at A.G. Edwards, which was acquired by Wells Fargo Advisors. He started in exchange-traded options, and later helped develop the firm’s derivatives practice, spearheaded the firm’s convertible securities business, and was instrumental in the creation of the Quantitative Analysis Department within the Fixed Income Research area. In 2001, the firm named Biebel manager of Options, Futures, and Managed Futures. In that capacity, he also ran the company’s “Covered Call Service.”

A graduate of Marquette University with majors in Accounting, Finance and Economics, Biebel holds the Series 3, 7, and 24 licenses, and is also a Registered Options Principal.

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Elaine joined Benjamin F. Edwards in 2019 as the Manager of Corporate Communications. Elaine works with Benjamin F. Edward & Co.’s senior leadership, sales, and marketing team, and other cross-functional staff responsible for the development and execution of all strategic and tactical communications plans consistent with the firm’s vision and culture across all digital and print channels. Leading a team of dedicated communications professionals, she is focused on proactive communications to further the firm’s key messaging, brand and business objectives.

Prior to joining Benjamin F. Edwards, Elaine directed product and business line marketing efforts at Stifel and Scottrade. She spent most of her career at Wells Fargo Advisors and predecessor companies, holding a variety of roles from Managing Director of the Investment and Advisory Product Marketing and V.P. of Corporate Communications for A.G. Edwards.

Elaine holds a Bachelor of Science degree in Business Administration from the University of Missouri, St. Louis and Series 7, 24,63 and 65 licenses.

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Kim Landry has established a distinguished track record of accomplishment over the course of her financial services career, which began in 1984. During that time, she has created and managed numerous professional development initiatives and coordinated a variety of product and service marketing projects. At Benjamin F. Edwards & Co., Kim works with senior management and the firm’s regional managers on branch development initiatives.

Prior to joining Benjamin F. Edwards & Co. in 2011, Kim spent 17 years at A.G. Edwards (now Wells Fargo Advisors). She holds her CERTIFIED FINANCIAL PLANNER™ designation from the CFP Board and a Master of Science of Financial Planning from the College for Financial Planning.

She completed her undergraduate work at University of Tulsa where she received a BS/BA in Finance and Management. Kim also holds Series 7, 63 and life and health insurance licenses.

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Shelby has more than 30 years of investment banking experience with a focus on middle market companies and their owners. She has expertise in mergers and acquisitions, strategy, finance and business development.

She has represented closely held business owners in the sale of their businesses and has created and structured many win-win transactions for middle-market business owners. She has advised companies in all aspects of corporate finance and strategic planning and has acted as a trusted business advisor to CEOs. Shelby has also assisted numerous companies across a wide spectrum of industries:  revitalizing operations, fostering growth and profitability, solving problems and identifying opportunities.

Her career encompasses banking at Continental Bank in Chicago; investment banking, specializing in mergers and acquisitions at A.G. Edwards & Sons; vice president of Finance and Planning at Spartech Corporation and consulting as the president of Q.E.D. Consulting Group. In addition, she has experience as an entrepreneur and business owner. Shelby holds FINRA Series 79 and 63.

Shelby has also taught finance at St. Louis University.

Shelby is the founder, past president and current board member of the Spirit of St. Louis Women’s Fund which is devoted to improving the quality of life in the St. Louis area by providing financial support to urgent and critical needs throughout the community.

Shelby received her MBA with high honors with a concentration in finance at the John M. Olin School of Business at Washington University. She holds a Bachelor of Arts from the University of Pennsylvania.

Shelby is a freethinking Investment Banker that is always up for a new challenge, never gives up, is passionate to the end, goes the extra mile for clients and gets to the finish line.

On a personal side, a few of her favorite things include family, meals from her organic vegetable garden, her Bernese Mountain trained support dog, Pilates and boxing. In addition, Shelby is passionate about community involvement, women in philanthropy and women entrepreneurs.

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Katelyn joined Benjamin F. Edwards & Co. in 2015 as associate vice president and team leader of Surveillance. She brings over 10 years of industry experience to the firm focused on surveillance with over five of years at FINRA as a Trading and Market Making Surveillance Compliance Examiner. Katelyn spent the last five years implementing a new trade surveillance system and creating surveillance reports.

She holds her Series 7, 9/10, 24, and 66 licenses. Outside of work, Katelyn likes to spend time with her husband, three children and two French Bulldogs.

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Joanne Welker joined Benjamin F. Edwards & Co. in 2008 and leads the company’s advisory program effort.

As chief investment officer and manager of Advisory Services, Joanne determines which advisory programs are appropriate for Benjamin F. Edwards & Co. to offer and recommend to clients, and oversees them on an ongoing basis. In addition, she serves as portfolio manager for BFEC’s Mutual Fund Portfolios program. Joanne also acts as portfolio manager for the ETF Portfolios and Russell Model Strategies programs, implementing models provided by Confluence Investment Management, Laffer Associates and Russell Investments.

Before joining Benjamin F. Edwards & Co., Joanne worked as a portfolio manager at A.G. Edwards Trust Company FSB for 13 years. Previously, she held positions at Citicorp and Waddell and Reed.

Joanne earned her bachelor’s degree in Finance from Missouri State University, and her master’s degree in Banking and Financial Services from Boston University. She has been a Chartered Financial Analyst since 1999. Joanne also has her Series 7, 24, and 66 licenses.

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Cindy is the Executive Vice-President, Director of the Staff Division and serves as the Corporate Secretary of Benjamin F. Edwards.  As Director of the Staff Division, Cindy is responsible for registration, continuing education, human resources, 401(k) plan administration, company stock and corporate insurance policies. As one of the original founders of Benjamin F. Edwards & Co., Cindy relies upon her proven track record of planning and establishing successful businesses. She created, developed and today directs the corporate infrastructure necessary to maintain and advance many of the firm’s shared services.

She began her industry career at A.G. Edwards where she developed and managed the trading and operational functions of the advisory program for A.G. Edwards Asset Management. Before joining Benjamin F. Edwards & Co. in 2008, she worked on the corporate bond desk for Edward Jones.

Cindy is a summa cum laude graduate of Maryville University in St. Louis with a Bachelor’s degree in Business Administration. She obtained a Master of Business Administration (emphasis in finance) with honors from Maryville University in St. Louis. Cindy holds FINRA Series 7, 24, 27, 53 and 66 securities licenses.

In her free time, Cindy enjoys spending time with her husband and four children.  She is an avid gardener and active volunteer.

Cindy holds FINRA Series 7, 24, 27, 53 and 66 securities licenses.

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Benjamin F. Edwards (Tad) is Chairman, CEO and President of Benjamin F. Edwards.  Tad is responsible for leading the firm’s development and directing the execution of its long-term, client-first strategies.  He ensures each initiative is grounded in the firm’s mission to empower financial advisors with the freedom to address their clients’ needs as they see fit in an atmosphere of trust, integrity and mutual respect.

A veteran of the financial services industry, Benjamin F. (Tad) Edwards IV founded Benjamin F. Edwards & Co. in 2008, at the height of the financial crisis.

Since its inception, Tad has expanded the firm’s presence from coast to coast with over 285 advisors located in more than 70 branches in 27 states.  Operating with no debt, he has broadened the firm’s capabilities by adding an investment banking division and Edwards Wealth Management, a Registered Investment Advisor (RIA).

Before founding Benjamin F. Edwards & Co., Tad held several executive positions at A.G. Edwards, a firm founded by his great-great-grandfather.  He began his career in Human Resources, then worked with clients as an advisor, and eventually as a branch manager of one of the most profitable branch offices. Tad moved to the firm’s corporate headquarters as a regional manager, and later directed the Sales and Marketing division. He also served on the boards of directors for A.G. Edwards, Inc. and its brokerage subsidiary, A.G. Edwards & Sons, Inc. He was named vice chairman of the holding company board and appointed president of the brokerage firm in 2001.

A graduate of Trinity University in Chicago, Tad has also completed the Securities Industry Institute at the Wharton School of Business, the Graduate Management Program at Washington University, and the Executive Leadership Development Program at the Harvard Business School.

Tad serves on the boards of Cass Information Systems, Inc., Central Institute for the Deaf, and Concordance Academy, and is an active member of the CEO Forum.

Tad is married with two children. He is a voracious reader and a news aficionado. Away from the home office, when he is not visiting branches, he enjoys golf, the beach, classic movies, sports memorabilia and time with family.

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Dave Hanson joined Benjamin F. Edwards & Co. in 2010 to help open and manage the firm’s Wheaton, Ill., office, its first location in the Chicago-area. While serving his clients and helping them with their investment needs are his top priorities, Dave has managed to boost size of the office – including doubling the number of advisors.

His success growing his Wheaton location, led to his selection as the firm’s Chicagoland regional manager. In that capacity, Dave oversees branch development in the greater Chicago metro area and supervises the firm’s Chicagoland locations. He has 30 years of investment experience, primarily at A.G. Edwards (now Wells Fargo), and earned his CERTIFIED FINANCIAL PLANNER™ certification in 1982. He is a graduate of Augustana College (Rock Island, Ill.) with a degree in business and accounting.

He is married with three children, and enjoys fishing, gardening, traveling and camping. He is also active in his church and his community, and served as a board consultant for Missionary Sisters Health Care Systems and other non-profit organizations.

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Tom is the Executive Vice-President, Chief Financial Officer (CFO) at Benjamin F. Edwards.  In his role as CFO, Tom oversees the Finance Division.  The division is responsible for shareholder reporting, accounting, audit, payroll and expense tracking activities.  Tom also governs the opening of new branch offices to ensure the location and projections make economic sense for the firm’s expansion plans into markets across the United States.  He is uniquely positioned to offer insight in these critical areas, having spent his entire career in financial services working in the areas of corporate accounting, branch administration and facilities.

Tom joined Benjamin F. Edwards in 2009.  Since that time, Tom has carefully safeguarded the firm’s assets while opening over 73 offices in 27 states.  Tom began his career at A.G. Edwards and was responsible for establishing and upgrading the firm’s accounting procedures and internal controls.  He was named assistant treasurer and controller and assumed supervisory responsibilities for general accounting. Tom played a key role in the firm’s implementation of many regulatory measures including Sarbanes-Oxley.

Tom is a graduate of the University of Missouri – St. Louis with a Bachelor of Science degree in Accounting. He is also a Certified Public Accountant in the state of Missouri.

In his free time, Tom enjoys spending time with his wife, four children and four grandchildren.  An avid sportsman, Tom recently retired from coaching youth baseball teams.  He easily picked up the game of golf at the age of 13 and still enjoys playing today when time away from his from grandchildren allows.

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With over 23 years of financial services industry experience, Libby Romack is a financial advisor with Wise Wealth Advisors of Benjamin F. Edwards & Co. She joined the firm in 2011 as branch manager and helped the firm establish its presence in Florida. Libby is a CERTIFIED FINANCIAL PLANNER^TM, or CFP^®, professional and previously worked at A.G. Edwards & Sons.

Libby knows that finances are a very personal part of a person’s life and a critical element of one’s financial future. As a result, she makes sure that her discussions with clients cover far more than just what the next investment will be. Together with her team, they develop a roadmap designed specifically to help a client reach their long-term goals and objectives.

Libby has three boys who fill her life with a great deal of joy.

WHAT IS A CFP®? A CERTIFIED FINANCIAL PLANNER^TM, or CFP^®, certification means a financial advisor has successfully completed a rigorous training program followed by a comprehensive 10-hour exam administered in accordance with the CERTIFIED FINANCIAL PLANNER^TM Board of Standards. Professionals who are awarded this accreditation demonstrate skill in analyzing situations and developing personalized long-term financial strategies. CERTIFIED FINANCIAL PLANNER^TM Board of Standards Inc. owns the certification marks CFP^® and CERTIFIED FINANCIAL PLANNER^TM in the U.S.

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Craig R. Schermerhorn, CFP^®, MBA, has been active in the financial services industry since 1976. Prior to that he served as an Air Force Officer, reaching the rank of Major while serving three years active duty and three years in the reserves, and a hospital administrator.

He has an MBA from Kent State University (1970) and achieved the CFP^® designation in 1980.

Schermerhorn joined A. G. Edwards in 1976 and then joined Benjamin F. Edwards in 2010. He was a Branch Manager from 1990 through 2017. During that period, he also maintained a significant financial planning practice and was consistently in the top tier of A.G. Edwards and Benjamin F. Edwards financial advisors. Schermerhorn retired in 2019.

He’s been married to his wife, Gerry, since 1970 and has three children. His outside interests include flying, travel, snow skiing, and enjoying his quasi-retirement. He recently relocated from Springfield, Illinois to Englewood, Florida.

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Chris is the Executive Vice-President, Director of Sales and Marketing at Benjamin F. Edwards.  As Director of Sales & Marketing, Chris oversees the firm’s expansive suite of products, planning, advice and service offerings.  The offerings vary in nature to address clients’ needs from implementing an asset allocation plan to addressing complex estate planning needs.  Chris is also responsible for spearheading the efforts of the Benjamin F. Edwards’ home office experts in assisting advisors and clients with growing and preserving wealth, planning for retirement, growing a business and providing a legacy for generations.

Since joining Benjamin F. Edwards in 2018, Chris has expanded the firm’s product and service offerings to better serve the evolving and complex needs of advisors and their clients.

Prior to joining Edwards, Chris was Sr. Director of the Advisory Relationship Management team at SS&C Advent. He also held the role of Chief Operating Officer at Moneta Group – an RIA in St. Louis from 2011 to 2015 and spent 19 years with A.G. Edwards and its successor companies.

Chris earned his MBA from St. Louis University in the School of Commerce and Finance with an emphasis in Finance. He holds a Series 7 license and is a Certified Financial Planner CFP®.

In his free time, Chris enjoys spending time with his wife and two children. He is passionate about spending time outdoors boating, snow and water skiing and hiking.  His love of hiking has opened the door to the stunning scenery of Glacier, Yosemite and Yellowstone National Parks, Mount St. Helens in Washington, Mount Whitney in California, and his favorite Mount Hood in Oregon .

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Stephen Appelbaum joined our Board of Directors in 2017. He is the Executive Vice President, Chief Financial Officer and Secretary of Cass Information Systems, Inc. Stephen, a certified public accountant, joined Cass in 2006 as the CFO and Secretary. Prior to joining Cass, he worked for KPMG LLP for 10 years before becoming a Senior Vice President at US Bank (St. Louis, Missouri), where he spent 16 years holding various positions in the areas of accounting, financial reporting, risk management, and merger and acquisition integration. He earned his Bachelor of Science in Business Administration-Accounting from the University of Missouri, Columbia and his Master of Business Administration from Washington University in St. Louis.

Stephen received the St. Louis Business Journal’s “CFO of the Year” award for 2012 and he is also a member of the American Institute of Certified Public Accountants.

His current and past community activities include serving as a director and executive committee member for the YMCA, various positions with The Boy Scouts of America – St. Louis Area council (Stephen is also an Eagle Scout), Junior Achievement advisor, assisting with the United Way of Greater St. Louis annual campaign, assisting with treasurer activities for Civic Progress, and financial consulting with The St. Louis Symphony Orchestra.

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Benjamin F. Edwards (Tad) is Chairman, CEO and President of Benjamin F. Edwards.  Tad is responsible for leading the firm’s development and directing the execution of its long-term, client-first strategies.  He ensures each initiative is grounded in the firm’s mission to empower financial advisors with the freedom to address their clients’ needs as they see fit in an atmosphere of trust, integrity and mutual respect.

A veteran of the financial services industry, Benjamin F. (Tad) Edwards IV founded Benjamin F. Edwards & Co. in 2008, at the height of the financial crisis.

Since its inception, Tad has expanded the firm’s presence from coast to coast with over 285 advisors located in more than 70 branches in 27 states.  Operating with no debt, he has broadened the firm’s capabilities by adding an investment banking division and Edwards Wealth Management, a Registered Investment Advisor (RIA).

Before founding Benjamin F. Edwards & Co., Tad held several executive positions at A.G. Edwards, a firm founded by his great-great-grandfather.  He began his career in Human Resources, then worked with clients as an advisor, and eventually as a branch manager of one of the most profitable branch offices. Tad moved to the firm’s corporate headquarters as a regional manager, and later directed the Sales and Marketing division. He also served on the boards of directors for A.G. Edwards, Inc. and its brokerage subsidiary, A.G. Edwards & Sons, Inc. He was named vice chairman of the holding company board and appointed president of the brokerage firm in 2001.

A graduate of Trinity University in Chicago, Tad has also completed the Securities Industry Institute at the Wharton School of Business, the Graduate Management Program at Washington University, and the Executive Leadership Development Program at the Harvard Business School.

Tad serves on the boards of Cass Information Systems, Inc., Central Institute for the Deaf, and Concordance Academy, and is an active member of the CEO Forum.

Tad is married with two children. He is a voracious reader and a news aficionado. Away from the home office, when he is not visiting branches, he enjoys golf, the beach, classic movies, sports memorabilia and time with family.

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Mark Keller has served on our Board of Directors since 2010. He has been the Chief Executive Officer and Chief Investment Officer of Confluence Investment Management LLC, a St. Louis-based investment management firm, since May 2008.

Mark has over 35 years of investment experience, with a focus on value-oriented equity analysis and management. From 1994 to May 2008, he was the Chief Investment Officer of Gallatin Asset Management, Inc. and its predecessor organization, A.G. Edwards Asset Management, the investment arm of A.G. Edwards, Inc. From 1999 to 2008, Mr. Keller was Chairman of the A.G. Edwards Investment Strategy Committee, which set investment policy and established asset allocation models for the entire organization.

Mark began his career with A.G. Edwards in 1978, serving as an equity analyst for the firm’s Securities Research Department from 1979 to 1994. During his last five years in Securities Research, Keller was Equity Strategist. He was a founding member of the A.G. Edwards Investment Strategy Committee, on which he served over 20 years, the last 10 years of which as Chairman of the Committee. Mark was a Senior Vice President of A.G. Edwards and Sons and of Gallatin Asset Management and was a member of the Boards of Directors of both companies.

His community activities include serving on the boards of trustees of Lake Geneva Foundation (Lake Geneva, Wisconsin), Conference Point Center (Williams Bay, Wisconsin), Stewards Ministries (Schaumburg, Illinois), and serves as an elder of Fenton Crossing Bible Chapel (Fenton, Missouri). Keller received a Bachelor of Arts from Wheaton College (Illinois) and is a CFA charter holder.

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Pete joined Benjamin F. Edwards & Co. in 2011 as a vice president and products and projects analyst. In addition, he is also a member of the firm’s Product Review Committee and serves as an options, derivatives and alternative investments analyst and provides trading support to our fixed-income and equity trading desks. A keen observer of the market and the economy, Pete writes the firm’s regular “Week Ahead” commentary, which is posted on the firm’s blog, that covers factors or events that may affect the market in the coming week.

Previously, Pete enjoyed an expansive 25-year career at A.G. Edwards, which was acquired by Wells Fargo Advisors. He started in exchange-traded options, and later helped develop the firm’s derivatives practice, spearheaded the firm’s convertible securities business, and was instrumental in the creation of the Quantitative Analysis Department within the Fixed Income Research area. In 2001, the firm named Biebel manager of Options, Futures, and Managed Futures. In that capacity, he also ran the company’s “Covered Call Service.”

A graduate of Marquette University with majors in Accounting, Finance and Economics, Biebel holds the Series 3, 7, and 24 licenses, and is also a Registered Options Principal.

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The ability to deliver knowledgeable and timely investment ideas – especially for equity investors – is one way of adding value for the client. At Benjamin F. Edwards & Co., Bruce Buerkle guides these initiatives.

Using a variety of resources, including third-party research, stock screens, and solid stock-picking instincts, Bruce provides regular investment options to the firm’s financial advisors, and assists them with reviews of client portfolios. In addition, he prepares daily market wrap-up reports and market open summaries for the firm’s financial advisors to deliver on radio or television. He also assists with the firm’s training initiatives.

Bruce entered the securities industry as a portfolio review associate in 1980 at A.G. Edwards and eventually led the company’s Portfolio Review Department.

A Chartered Financial Analyst, Bruce earned his bachelor’s degree from the University of Florida and his M.B.A. from Vanderbilt University. He also has his Series 7, 16, and 63 licenses.

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In 2009, Gina Dickerson joined Benjamin F. Edwards & Co. where she worked in New Accounts and Document Control. In 2011, she moved to Branch Services where, as a transition specialist, she now plays a key role in opening new branches and assisting financial advisors and their staff transition to the firm. When not opening offices, she continues to provide ongoing support to existing branches.

Gina Dickerson began her financial services career in 2008 when she was hired as a trade associate to work on the A.G. Edwards trading desk. In that capacity, she received, processed, and executed live equity orders. Previously she spent three years in real estate and 15 years as an operations manager at American Express in the corporate travel division, where she led a team of more than 150 employees, developed and maintained client relationships and handled budgeting.

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Benjamin F. Edwards (Tad) is Chairman, CEO and President of Benjamin F. Edwards.  Tad is responsible for leading the firm’s development and directing the execution of its long-term, client-first strategies.  He ensures each initiative is grounded in the firm’s mission to empower financial advisors with the freedom to address their clients’ needs as they see fit in an atmosphere of trust, integrity and mutual respect.

A veteran of the financial services industry, Benjamin F. (Tad) Edwards IV founded Benjamin F. Edwards & Co. in 2008, at the height of the financial crisis.

Since its inception, Tad has expanded the firm’s presence from coast to coast with over 285 advisors located in more than 70 branches in 27 states.  Operating with no debt, he has broadened the firm’s capabilities by adding an investment banking division and Edwards Wealth Management, a Registered Investment Advisor (RIA).

Before founding Benjamin F. Edwards & Co., Tad held several executive positions at A.G. Edwards, a firm founded by his great-great-grandfather.  He began his career in Human Resources, then worked with clients as an advisor, and eventually as a branch manager of one of the most profitable branch offices. Tad moved to the firm’s corporate headquarters as a regional manager, and later directed the Sales and Marketing division. He also served on the boards of directors for A.G. Edwards, Inc. and its brokerage subsidiary, A.G. Edwards & Sons, Inc. He was named vice chairman of the holding company board and appointed president of the brokerage firm in 2001.

A graduate of Trinity University in Chicago, Tad has also completed the Securities Industry Institute at the Wharton School of Business, the Graduate Management Program at Washington University, and the Executive Leadership Development Program at the Harvard Business School.

Tad serves on the boards of Cass Information Systems, Inc., Central Institute for the Deaf, and Concordance Academy, and is an active member of the CEO Forum.

Tad is married with two children. He is a voracious reader and a news aficionado. Away from the home office, when he is not visiting branches, he enjoys golf, the beach, classic movies, sports memorabilia and time with family.

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When Colleen Johnson came aboard with Benjamin F. Edwards & Co. in 2008, she brought with her decades of experience earned as a branch operations trainer at A.G. Edwards, a firm she joined in 1981.

Today, she applies that knowledge as she helps transferring managers and financial advisors with the transition process, providing training on a variety of day-to-day aspects of the business. At the same time, she ensures adherence to the firm’s established operational procedure and also assists financial advisors with questions and troubleshooting every day.

She currently holds her Series 7, 9/10, and 63 licenses.

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Yari joined Benjamin F. Edwards & Co. in 2013 as vice president and manager of Trading Services. He is responsible for all trade-related activities for equities, mutual funds, options, precious metals, and unit investment trusts. In addition, he assists with new issue syndicates and serves on the Syndicate Review Committee. With almost 20 years of trading experience, Yari works closely with the firm’s financial advisors and clients to answer trading requests and leverage market opportunities.

Previously, Yari served in a similar role as a senior block trader in the equity and exchange-traded funds markets, focusing on institutional trades and managed money orders. He also held the position of market maker where he was responsible for managing risk on all trading activity for over 60 NASDAQ Stock Market equity securities, while working closely with Investment Banking, Syndicate and Research.

Yari is a graduate of Phillips University where he earned a Bachelor of Business Administration degree in Finance. Yari holds his FINRA Series 7, 55 and 63 licenses.

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Tom is the Executive Vice-President, Chief Financial Officer (CFO) at Benjamin F. Edwards.  In his role as CFO, Tom oversees the Finance Division.  The division is responsible for shareholder reporting, accounting, audit, payroll and expense tracking activities.  Tom also governs the opening of new branch offices to ensure the location and projections make economic sense for the firm’s expansion plans into markets across the United States.  He is uniquely positioned to offer insight in these critical areas, having spent his entire career in financial services working in the areas of corporate accounting, branch administration and facilities.

Tom joined Benjamin F. Edwards in 2009.  Since that time, Tom has carefully safeguarded the firm’s assets while opening over 73 offices in 27 states.  Tom began his career at A.G. Edwards and was responsible for establishing and upgrading the firm’s accounting procedures and internal controls.  He was named assistant treasurer and controller and assumed supervisory responsibilities for general accounting. Tom played a key role in the firm’s implementation of many regulatory measures including Sarbanes-Oxley.

Tom is a graduate of the University of Missouri – St. Louis with a Bachelor of Science degree in Accounting. He is also a Certified Public Accountant in the state of Missouri.

In his free time, Tom enjoys spending time with his wife, four children and four grandchildren.  An avid sportsman, Tom recently retired from coaching youth baseball teams.  He easily picked up the game of golf at the age of 13 and still enjoys playing today when time away from his from grandchildren allows.

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Phone: 314-480-1170
Email: jane.matoesian@nullbenjaminfedwards.com

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Ann joined Benjamin F. Edwards & Co. in 2009 and is an Associate Vice President and Trade Processing Specialist. She is part of a team that is responsible for all trade-related activities for equities, mutual funds, options, precious metals, and unit investment trusts. In addition, she assists with new issue syndicates. With almost 25 years of trading and industry experience, Ann works closely with the firm’s financial advisors and clients.

Previously, Ann served in a similar role as a trader on the Chicago Board of Trade (CBOT) focusing on fixed income, equities, grains and metals in both futures and options markets. She worked mostly with institutional traders and money managers. Ann was also manager for her firm’s CBOT trade reconciliation team. In addition to her other duties, she ran the summer internship program for the firm’s CBOT floor group.

Ann is a graduate of St. Xavier University in Chicago where she earned a Bachelor of Business Administration degree in Finance. She holds her FINRA Series 3, 7, 55 and 66 licenses. Outside of work she enjoys spending time with her family and is a Certified Scuba Diver.

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Philip has more than 11 years of investment banking experience, including experience in mergers and acquisitions, equity raises and debt financing transactions for companies across a wide range of industries.

He was previously a vice president in the Middle Market Group of Wells Fargo Securities where he worked on M&A transactions and capital raises. Previous to Wells Fargo Securities, Philip was an Assistant Vice President in the Public Finance Group at Piper Jaffray where he originated tax-exempt bond issuances for government clients.

Philip earned a Bachelor of Science from University of Missouri and a Master of Business Administration from the John M. Olin School of Business at Washington University in St. Louis. He earned his CHARTERED FINANCIAL ANALYST® designation from the CFA Institute in 2007, and holds FINRA Series 7, 63 and 79 licenses.

He lives in St. Louis with his wife and two children.

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Ed is vice president and manager of Employer Retirement Plans at Benjamin F. Edwards & Co. Joining the firm in 2015, Ed works closely with financial advisors and clients on technical and compliance topics related to employer retirement plans. In addition, he develops and manages a variety of product and service marketing materials and related projects.

With more than 20 years of financial services industry experience, Ed served in a similar role where he created marketing materials as well as helped educate and train financial advisors. In addition, Ed has led initiatives involving vendor relationship management and strategic market analysis.

Ed is a graduate of Drake University with a Bachelor of Arts degree in Finance and Actuarial Science, and he earned his Master of Business Administration from Webster University. He also completed the Securities Industry Institute at the Wharton School of Business (1997) and holds his Series 7, 66 and 24 licenses.

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Debi joined Benjamin F. Edwards & Co. in 2012 as a graphic designer in Corporate Communications. She is responsible for developing print and digital creative materials for the firm’s advertising, marketing, communications and branding efforts. With over 20 years of design experience, Debi works closely with the firm’s financial advisors and Home Office personnel.

Previously, Debi served in a similar role as a graphic designer/illustrator for a St. Louis-based law firm. During that time, she developed marketing, branding and advertising pieces ranging from print collateral pieces to large scale trade show exhibits, web design and multi-media communications campaigns. In addition, Debi has extensive experience in brand strategy having developed product and packaging for national and international recognized brands.

Debi is a graduate of University of Kansas where she earned a Bachelor of Fine Arts degree in Illustration. A published children’s book illustrator, Debi is a member of the SCBWI (Society of Children’s Book Writers and Illustrators) as well as an accomplished fine artist, winning a number of local, national and international art competitions. Outside of work, Debi enjoys marathon running, endurance cycling, and working out at a local CrossFit gym with her husband and son.

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At Benjamin F. Edwards & Co., Doug is chief operating officer where he oversees the alignment and prioritization of company initiatives, leads Capital Markets initiatives for the firm which includes investment banking, new issue syndicate and trading as well as Corporate Communications. He is a member of the company’s management team and serves on the firm’s Executive Committee, is a board member and shareholder.

Doug sourced, led and participated in transactions totaling more than $50 billion over his 30 years of experience in investment banking. Before joining Benjamin F. Edwards & Co. in 2012, Doug served as the managing director and Real Estate Investment Banking Group head at Stifel Nicolaus Weisel. Doug led one of the real estate industry’s longest serving investment banking groups, which included more than 75 legacy REIT client relationships developed over his 18 years in the REIT industry.

Previously, he worked in investment banking for over 25 years at A.G. Edwards managing a variety of transactions, including leveraged buyouts, mergers and acquisitions, fairness opinions, exclusive sales and entity level and joint venture private placements. Doug executed public and private senior, subordinated and convertible debt, convertible and preferred equity, and common stock transactions for investment grade and non-investment grade companies, as well as IPOs and 144A offerings. He developed custom and comprehensive marketing programs targeted to potential and existing domestic and international retail and institutional investors.

As the managing director and Real Estate Investment Banking Group head at A.G. Edwards, Doug’s management responsibilities included the Strategy Committee, Debt Capital Markets Committee and Equity Capital Markets Committee.

Doug currently serves as an independent director on the board of a publicly traded REIT.

Doug received his M.B.A. at the John M. Olin School of Business at Washington University and his Bachelor of Arts degree, cum laude, in Economics from Lake Forest College. He holds FINRA Series 7, 24, 55, 63 and 79 securities licenses.

Doug is known by many friends and colleagues as “Ruby”, which he enjoys.

Ruby and his wife Stacy, his one and only girlfriend, met when he was 17 and she was 14.  If Ruby was asked what celebrities would draw similarities… Stacy reminds him of Mary Tyler Moore and his mom thought he looks a bit like Dustin Hoffman.  They have 2 awesome sons, David and Michael, born back in 1994 and 1996, respectively.

Like so many, family is everything to the Rubensteins.  They are avid skiers and travelers.  A weekend alone together, anywhere, is priceless.

Ruby enjoys family, friends, fun, food, fine wine and fitness.  Fitness is called upon often since one of his mottos is “life can be serious, but food, wine and travelling is fun”.

Ruby grew up in the world of A.G. Edwards with one of his mentors, Norman Handel, a grand man and father figure.”

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As senior vice president and manager of insurance and annuities, Dan trains and assists financial advisors in exploring insurance and annuity vehicles and strategies that can be specifically designed to each client’s retirement and legacy goals for their unique planning situations. Part of this support includes participation in the firm’s Home Office visit program, where clients come to the firm’s St. Louis headquarters to meet with the company’s subject matter experts.

Prior to joining Benjamin F. Edwards & Co. in 2012, Dan spent 15 years at A.G. Edwards (now Wells Fargo Advisors) and coordinated a variety of insurance and annuity product and service marketing projects regarding topics such as family protection planning, business insurance planning, estate planning, long-term care planning, retirement planning, as well as other insurance and annuity planning issues. Dan’s previous industry experience includes four years as a registered representative for Metropolitan Life Insurance Company helping clients with their insurance and investment needs.

Dan has earned a Bachelor of Science degree from the University of Missouri-Columbia and holds Series 7, 6, 26, 63 and 65 licenses. He also holds life and health insurance licenses and is long-term care insurance certified.

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Katelyn joined Benjamin F. Edwards & Co. in 2015 as associate vice president and team leader of Surveillance. She brings over 10 years of industry experience to the firm focused on surveillance with over five of years at FINRA as a Trading and Market Making Surveillance Compliance Examiner. Katelyn spent the last five years implementing a new trade surveillance system and creating surveillance reports.

She holds her Series 7, 9/10, 24, and 66 licenses. Outside of work, Katelyn likes to spend time with her husband, three children and two French Bulldogs.

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Chris is the Executive Vice-President, Director of Sales and Marketing at Benjamin F. Edwards.  As Director of Sales & Marketing, Chris oversees the firm’s expansive suite of products, planning, advice and service offerings.  The offerings vary in nature to address clients’ needs from implementing an asset allocation plan to addressing complex estate planning needs.  Chris is also responsible for spearheading the efforts of the Benjamin F. Edwards’ home office experts in assisting advisors and clients with growing and preserving wealth, planning for retirement, growing a business and providing a legacy for generations.

Since joining Benjamin F. Edwards in 2018, Chris has expanded the firm’s product and service offerings to better serve the evolving and complex needs of advisors and their clients.

Prior to joining Edwards, Chris was Sr. Director of the Advisory Relationship Management team at SS&C Advent. He also held the role of Chief Operating Officer at Moneta Group – an RIA in St. Louis from 2011 to 2015 and spent 19 years with A.G. Edwards and its successor companies.

Chris earned his MBA from St. Louis University in the School of Commerce and Finance with an emphasis in Finance. He holds a Series 7 license and is a Certified Financial Planner CFP®.

In his free time, Chris enjoys spending time with his wife and two children. He is passionate about spending time outdoors boating, snow and water skiing and hiking.  His love of hiking has opened the door to the stunning scenery of Glacier, Yosemite and Yellowstone National Parks, Mount St. Helens in Washington, Mount Whitney in California, and his favorite Mount Hood in Oregon .

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Corporates, preferreds and municipals – Joel Wiesehan has traded them all throughout his 12-year career as a fixed income trader. In addition, he has extensive experience working with financial advisors to respond to inquiries and leverage market opportunities.

Joel joined Benjamin F. Edwards & Co. in 2012 as the manager of the firm’s fixed income trading operations. In this capacity, he will be responsible for fixed income trading across all taxable and tax-free product types. In addition, he will coordinate municipal syndicate selling group agreements with other broker-dealers, while also assisting the firms advisors and their clients with their fixed income portfolio needs.

A graduate of the University of Missouri – St. Louis with a Bachelor of Science degree in Business Administration, Joel specialized in finance and economics. He is married with two daughters.

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Julie is vice president and branch manager supervision administrator of Branch Services at Benjamin F. Edwards & Co. Joining the firm in 2012, Julie is responsible for sales practices and activities of the firm’s producing branch managers.

With over 30 years of experience in the financial services and banking industries, Julie has held positions as assistant branch manager and client associate.

She holds her Series 7, 9, 10, 66, and insurance licenses. Outside of work, Julie likes to spend time with her family — especially her two granddaughters. She also enjoys reading and traveling.

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