Our Edwards
Our People
Our client-centric philosophy is best demonstrated by our team of talented professionals who share a passion for client service. From our executive leaders to our advisors, everyone on the Benjamin F. Edwards team has years of proven experience.
We believe that financial services is at its best when advisors can put their time and attention towards their clients, and every element of what we offer is built around that idea.
Meet the team. Standing ready to help you succeed.
Martin W. AltenbergerExecutive Vice President, Director of BranchesMarty is the Director of Branches, responsible for leading the firm’s efforts in branch development, recruiting and branch services. In this role, Marty oversees the ever-expanding division responsible for recruiting and welcoming financial advisors to the firm, opening new branch offices and ongoing support of the branches and the branch staff. He is a member of the firm’s Executive Committee and holds executive leadership roles on a variety of committees at the firm.
Since joining Benjamin F. Edwards in 2009, Marty has navigated the successful opening of over 73 branch offices and has welcomed over 280 financial advisors in 27 states to the firm.
Previously, he served in a similar capacity at A.G. Edwards, a company he joined in 1983. During his tenure there, he held several leadership positions in the firm’s Operations and Branch divisions.
Marty holds Series 7, 8, 24, and 63 securities licenses.
Outside of work, he enjoys spending time with his wife and two daughters. Marty is a self-taught accomplished guitar player and performs regularly at a variety of St. Louis area venues. Often times, you will find Marty performing at Benjamin F. Edwards corporate events with Tad Edwards and financial advisors.
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FINRA’s BrokerCheckExecutive Vice President, Director of Branches- Cynthia L. BohmeCorporate Secretary, Executive Vice President, Director of Staff Division
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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FINRA’s BrokerCheckCorporate Secretary, Executive Vice President, Director of Staff Division - E. Allen ColeDirector of Law & Legal Services, Chief Counsel
As a leader in the Regulatory and Compliance segment of the industry since 1993, Allen Cole successfully guides financial advisors through the maze of the ever-changing regulatory landscape. His special talent: shaping regulatory requirements into actionable steps that help financial advisors accomplish their goals.
Allen joined Benjamin F. Edwards & Co. in 2008 and manages the legal compliance and regulatory activities of the firm as Executive Director of Law and Compliance, and Chief Counsel.
A graduate of the Washington University School of Law, Allen also received a Bachelor of Arts degree in Business Administration from Ouachita Baptist University in 1982.
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FINRA’s BrokerCheckDirector of Law & Legal Services, Chief Counsel - Benjamin F. EdwardsChairman, CEO and President
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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FINRA’s BrokerCheckChairman, CEO and President - Christopher M. KellerExecutive Vice President, Director of Business Services
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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FINRA’s BrokerCheckExecutive Vice President, Director of Business Services - Thomas H. MartinExecutive Vice President, Chief Financial Officer
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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FINRA’s BrokerCheckExecutive Vice President, Chief Financial Officer - Douglas D. RubensteinExecutive Vice President, Chief Operating Officer
Douglas “Doug” Rubenstein is chief operating officer (COO) at Benjamin F. Edwards & Co., where he leads the execution of strategies developed by the firm’s Executive Committee. He also oversees the functions and general operations of the firm and is responsible for the alignment and prioritization of company initiatives. In this role, he collaborates with the chief executive officer (CEO) in setting and driving organizational vision, operational strategy, and hiring needs to translate strategy into actionable goals for performance and growth.
He also leads Capital Markets initiatives for the firm that include investment banking, new-issue syndicate, trading as well as Corporate Communications. He is a member of the company’s management team, serves on the firm’s Executive Committee, and is a board member and shareholder.
Doug sourced, led and participated in transactions totaling more than $50 billion over his 30 years in investment banking. Before joining Benjamin F. Edwards & Co. in 2012, Doug served as 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 Real Estate Investment Trust (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 & Sons, Inc., managing a variety of transactions including leveraged buyouts, mergers and acquisitions, fairness opinions, and joint venture private placements.
As 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 in St. Louis and his bachelor’s degree, cum laude, in economics from Lake Forest College near Chicago. 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 were asked what celebrities would draw similarities to himself and his wife, he would say that Stacy reminds him of Mary Tyler Moore and that his mom thought he looks a bit like Dustin Hoffman. The Rubensteins have two awesome sons, David and Michael, born 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 because one of his mottos is: Life can be serious, but food, wine and traveling 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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FINRA’s BrokerCheckExecutive Vice President, Chief Operating Officer - Christopher M. WhitingExecutive Vice President, Director of Sales & Marketing, CFP®
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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FINRA’s BrokerCheckExecutive Vice President, Director of Sales & Marketing, CFP® - Bill J. WisdomDirector of Regulatory & Oversight Services, Chief Compliance Officer
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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FINRA’s BrokerCheckDirector of Regulatory & Oversight Services, Chief Compliance Officer
- Neal J. BaumannSenior Vice President, Eastern Regional Director, Co-Branch Manager, White Plains, NY
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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FINRA’s BrokerCheckSenior Vice President, Eastern Regional Director, Co-Branch Manager, White Plains, NY - Roland H. de LiniereSenior Vice President, Southeastern Regional Director, Branch Manager, Atlanta, GA
Roland joined Benjamin F. Edwards in 2010 opening the 10th office of the firm in Atlanta and the first in the southeast. His responsibilities include working with his clients, managing the Atlanta office, and being the Southeastern Regional Director, which encompasses 24 offices in 9 states. Roland serves as a member of the brokerage firm’s board of directors.
He began his career in the financial services in 1982 at Merrill Lynch, then worked at Prudential Bache from 1983 to 1988. In 1988 he joined A.G. Edwards and became a branch manager in 1990.
Roland graduated from Georgia State University with a BBA and MBA degrees.
He is married to Peggy, and enjoys maintaining their koi pond, and attending sporting events, especially football, hockey, and baseball. He is on the advisory board of the Basin Advisory Council of the Metropolitan North Georgia Water Planning District and has also done some freelance writing on occasion.
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FINRA’s BrokerCheckSenior Vice President, Southeastern Regional Director, Branch Manager, Atlanta, GA - Mark P. FellowsSenior Vice President, Western Regional Director, Branch Manager, Denver, CO
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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FINRA’s BrokerCheckSenior Vice President, Western Regional Director, Branch Manager, Denver, CO - Lois M. PowellSenior Vice President, Director of Branch Development, Branch Manager, Sherman TX
Lois joined Benjamin F. Edwards & Co. in 2013, bringing with her nearly 30 years of financial services experience, including several as a regional manager responsible for Texas and New Mexico.
As Director of Branch Development, Lois is focused on growing the firm with new advisors by developing trusted relationships with advisor prospects and bringing new talent to our branch system.
Previously, Lois was a financial advisor for more than 15 years in the Dallas area before being named head of regional sales, and later a regional manager. She served as a market manager in Fort Worth and West Texas before retiring in 2011.
In her spare time, Lois loves to travel, play golf, and spend time with her husband, children, and 3 grandchildren.
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FINRA’s BrokerCheckSenior Vice President, Director of Branch Development, Branch Manager, Sherman TX
- Peter A. BiebelSenior Vice President, Alternative Products and Strategies
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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FINRA’s BrokerCheckSenior Vice President, Alternative Products and Strategies - Bruce L. BuerkleSenior Vice President and Manager, Securities Research
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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FINRA’s BrokerCheckSenior Vice President and Manager, Securities Research - Elaine ConwaySenior Vice President, Manager, Corporate Communications
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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FINRA’s BrokerCheckSenior Vice President, Manager, Corporate Communications - David FrankManaging Director and Co-Head of Investment Banking
David Frank joined Benjamin F. Edwards in 2020 following a thirty-year career as an investment banker at large investment banking firms in New York City. David worked in senior roles at four different major investment banks, advising a wide array of clients across varied industries including retail, consumer products & services, distribution, food & beverage, industrials and transportation. He brings to Benjamin F. Edwards extensive experience and expertise in mergers, acquisitions, corporate sales and divestitures, leveraged debt financing, financial restructurings and equity capital raising.
David has advised a broad variety of larger and mid-cap clients on strategic M&A and important corporate financing transactions. Most recently, David headed the Consumer & Retail investment banking industry group at RBC Capital Markets. He previously was the head of Retail investment banking at both Credit Suisse and Wells Fargo Securities. He also worked for several years advising and financing industrial and transportation clients at Lehman Brothers. David’s advisory clients have included such larger companies as Walmart, 7-Eleven and Restaurant Depot, as well as mid-cap leaders like Schnucks Markets, Smile Brands, Meineke/Maaco and Strategic Partners.
David served as a Charter Member of the Executive Advisory Council of Feeding America, the largest U.S. non-governmental food assistance organization, and a Trustee of Business Today at Princeton University. He graduated from Princeton University with an AB magna cum laude, and obtained an MBA from Harvard Business School.
David was raised in St. Louis, and then pursued his career in investment banking in New York City where he and his wife Dawn raised two sons in Manhattan. They enjoy spending time with family, skiing, biking, travel and being outdoors. David is also an avid reader and has remained a staunch St. Louis sports fan.
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FINRA’s BrokerCheckManaging Director and Co-Head of Investment Banking - Theresa A. FrySenior Vice President and Manager, IRAs and Retirement Planning
Theresa joined Benjamin F. Edwards & Co. in 2011 as a vice president and manager of IRA and retirement plans. In this capacity, she works with the firm’s financial advisors and clients on retirement planning issues and strategies.
Previously, Theresa served in a similar role for more than 10 years at A.G. Edwards. She also worked with clients and the firm’s financial advisors, and guided the development of communications materials to support the area. In addition, she served as the firm’s media spokesperson on retirement issues, appearing frequently on CNBC and quoted in USA Today, Money, and BusinessWeek.
Prior to joining A.G. Edwards, Theresa worked as a department leader in Retirement Operations for Edward Jones.
Theresa is a graduate of Southern Illinois University – Edwardsville, and holds her Series 7 and 63 licenses. She also holds life and health insurance licenses and long-term care certification.
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FINRA’s BrokerCheckSenior Vice President and Manager, IRAs and Retirement Planning - Craig HarrisonSenior Vice President & Manager, Registration
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FINRA’s BrokerCheckSenior Vice President & Manager, Registration - William HornbargerSENIOR VICE PRESIDENT, CHIEF INVESTMENT OFFICER, CHAIRMAN INVESTMENT STRATEGY COMMITTEE
Bill is the Senior Vice-President, Chief Investment Officer and Chairman of the firm’s Investment Strategy Committee.
As Chief Investment Officer, Bill’s expertise, distinguished investment experience, and strategic vision allows the firm to further enhance and expand its investment strategy and offerings. Bill works closely with the team responsible for developing the firm’s market outlook, investment strategy, aligning its asset allocation guidelines, and overseeing strategic investment programs. In this role, he coordinates internal research and perspectives along with input and insight from key external investment partners and serves as the firm’s spokesperson on economic and market activity. This work complements and supports the firm’s advisors and the work they do to meet their client’s investment needs, both for today and for years to come.
Prior to joining Benjamin F. Edwards, Bill served as Chief Investment Officer at the Moneta Group since 2009 where he led the investment team and was responsible for oversight of the investment process. Bill also spent 20 years as Chief Fixed Income Strategist and Investment Strategy Committee member at A.G. Edwards and its successor companies. There, he worked on strategic, cyclical, and tactical asset allocation, formulated capital market assumptions, and served as portfolio manager for multi-asset and multi-strategic ETF programs. Bill received his bachelor’s degree in business and MBA from Saint Louis University.
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FINRA’s BrokerCheckSENIOR VICE PRESIDENT, CHIEF INVESTMENT OFFICER, CHAIRMAN INVESTMENT STRATEGY COMMITTEE - Marc KesslerRegulatory Exams/Internal Testing
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FINRA’s BrokerCheckRegulatory Exams/Internal Testing - Kim S. LandrySenior Vice President and Manager, Advisor Development and Growth
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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FINRA’s BrokerCheckSenior Vice President and Manager, Advisor Development and Growth - Yari A. LindoSenior Vice President and Manager, Trading Services
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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FINRA’s BrokerCheckSenior Vice President and Manager, Trading Services - Eric LoySenior Vice President & Manager – Branch Supervision
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FINRA’s BrokerCheckSenior Vice President & Manager – Branch Supervision - Peter McCarthySenior Vice President and Manager, Regulatory Initiatives
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FINRA’s BrokerCheckSenior Vice President and Manager, Regulatory Initiatives - Matt MucklerSenior Vice President, Assistant Chief Compliance Officer, Investment Advisory
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FINRA’s BrokerCheckSenior Vice President, Assistant Chief Compliance Officer, Investment Advisory - Edward “Ed” V. O’NealSenior Vice President and Manager, Retirement Plans
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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FINRA’s BrokerCheckSenior Vice President and Manager, Retirement Plans - Shelby SchagrinManaging Director and Co-Head of Investment Banking
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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FINRA’s BrokerCheckManaging Director and Co-Head of Investment Banking - Daniel J. “Dan” SchulteSenior Vice President and Manager, Annuities and Insurance
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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FINRA’s BrokerCheckSenior Vice President and Manager, Annuities and Insurance - Katelyn StevensSenior Vice President, Assistant Chief Compliance Officer, Brokerage
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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FINRA’s BrokerCheckSenior Vice President, Assistant Chief Compliance Officer, Brokerage - Yvonne TrentmanSenior Vice President and Senior Manager, Branch Services
With years of industry experience and a well-deserved reputation for providing outstanding client service, Yvonne joined Benjamin F. Edwards & Co. in 2009 as a vice president and manager of Branch Services. In this capacity, Yvonne works closely with the firm’s regional managers and acts as a liaison between the firm’s Home Office and its branch offices.
Yvonne began her financial services career in 1981 at A.G. Edwards in Bond Operations and later moved to the Reorganization Department to manage day-to-day activities within the bond redemption area. In 1995, given her knowledge of the securities industry and her client-friendly demeanor, Yvonne was asked to establish the Client Services Department within the firm’s Law Department. The new department worked with the firm’s branches and clients to address client concerns, answer questions, facilitate settlements and to identify information required for regulatory reporting.
Yvonne holds the Series 7, 8, 24, and 63 licenses.
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FINRA’s BrokerCheckSenior Vice President and Senior Manager, Branch Services - Joanne M. WelkerSenior Vice President and Manager, Advisory Services, CFA
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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FINRA’s BrokerCheckSenior Vice President and Manager, Advisory Services, CFA - Joel A. WiesehanSenior Vice President and Manager, Fixed Income
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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FINRA’s BrokerCheckSenior Vice President and Manager, Fixed Income - Jerry WingbermuehleSenior Vice President & Manager, Legal Services
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FINRA’s BrokerCheckSenior Vice President & Manager, Legal Services - Jeffrey R. WolfeSenior Vice President and Manager, Wealth Planning Strategies
As Vice President and Manager of estate planning strategy and affluent client services, Jeff consults with financial advisors and their clients to explore estate planning and affluent client strategies designed to help clients’ achieve lifetime and legacy goals for themselves and their beneficiaries. Jeff is also responsible for the firm’s Home Office Visit program where affluent clients come to the firm’s St. Louis headquarters to meet with the company’s subject matter experts for a comprehensive financial review. Jeff’s responsibilities also include generating training and marketing materials on subjects of interest for the firm and its clients.
Jeff joined Benjamin F. Edwards & Co. in 2013. Previously, Jeff spent ten years with Edward Jones where he initially served as counsel in their Trust Company before assuming a similar estate planning and affluent client strategist role. Before joining Edward Jones Jeff was in private practice at a law firm in St. Louis County.
Jeff is a member of the Missouri Bar, the Estate Planning Council of St. Louis, the Real Property, Probate and Trust Section of the American Bar Association. He also holds his Series 7, 24 and 66 licenses. Jeff earned his B.A. from Westminster College, and his J.D. from Indiana University-Indianapolis.
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FINRA’s BrokerCheckSenior Vice President and Manager, Wealth Planning Strategies
- Martin W. AltenbergerExecutive Vice President, Director of Branches
Marty is the Director of Branches, responsible for leading the firm’s efforts in branch development, recruiting and branch services. In this role, Marty oversees the ever-expanding division responsible for recruiting and welcoming financial advisors to the firm, opening new branch offices and ongoing support of the branches and the branch staff. He is a member of the firm’s Executive Committee and holds executive leadership roles on a variety of committees at the firm.
Since joining Benjamin F. Edwards in 2009, Marty has navigated the successful opening of over 73 branch offices and has welcomed over 280 financial advisors in 27 states to the firm.
Previously, he served in a similar capacity at A.G. Edwards, a company he joined in 1983. During his tenure there, he held several leadership positions in the firm’s Operations and Branch divisions.
Marty holds Series 7, 8, 24, and 63 securities licenses.
Outside of work, he enjoys spending time with his wife and two daughters. Marty is a self-taught accomplished guitar player and performs regularly at a variety of St. Louis area venues. Often times, you will find Marty performing at Benjamin F. Edwards corporate events with Tad Edwards and financial advisors.
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FINRA’s BrokerCheckExecutive Vice President, Director of Branches - Neal J. BaumannSenior Vice President, Eastern Regional Director, Co-Branch Manager, White Plains, NY
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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FINRA’s BrokerCheckSenior Vice President, Eastern Regional Director, Co-Branch Manager, White Plains, NY - Cynthia L. BohmeCorporate Secretary, Executive Vice President, Director of Staff Division
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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FINRA’s BrokerCheckCorporate Secretary, Executive Vice President, Director of Staff Division - Todd BrandstadtManaging Director – Investments, Branch Manager, Grand Rapids, MI
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FINRA’s BrokerCheckManaging Director – Investments, Branch Manager, Grand Rapids, MI - E. Allen ColeDirector of Law & Legal Services, Chief Counsel
As a leader in the Regulatory and Compliance segment of the industry since 1993, Allen Cole successfully guides financial advisors through the maze of the ever-changing regulatory landscape. His special talent: shaping regulatory requirements into actionable steps that help financial advisors accomplish their goals.
Allen joined Benjamin F. Edwards & Co. in 2008 and manages the legal compliance and regulatory activities of the firm as Executive Director of Law and Compliance, and Chief Counsel.
A graduate of the Washington University School of Law, Allen also received a Bachelor of Arts degree in Business Administration from Ouachita Baptist University in 1982.
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FINRA’s BrokerCheckDirector of Law & Legal Services, Chief Counsel - Roland H. de LiniereSenior Vice President, Southeastern Regional Director, Branch Manager, Atlanta, GA
Roland joined Benjamin F. Edwards in 2010 opening the 10th office of the firm in Atlanta and the first in the southeast. His responsibilities include working with his clients, managing the Atlanta office, and being the Southeastern Regional Director, which encompasses 24 offices in 9 states. Roland serves as a member of the brokerage firm’s board of directors.
He began his career in the financial services in 1982 at Merrill Lynch, then worked at Prudential Bache from 1983 to 1988. In 1988 he joined A.G. Edwards and became a branch manager in 1990.
Roland graduated from Georgia State University with a BBA and MBA degrees.
He is married to Peggy, and enjoys maintaining their koi pond, and attending sporting events, especially football, hockey, and baseball. He is on the advisory board of the Basin Advisory Council of the Metropolitan North Georgia Water Planning District and has also done some freelance writing on occasion.
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FINRA’s BrokerCheckSenior Vice President, Southeastern Regional Director, Branch Manager, Atlanta, GA - Benjamin F. EdwardsChairman, CEO and President
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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FINRA’s BrokerCheckChairman, CEO and President - Mark P. FellowsSenior Vice President, Western Regional Director, Branch Manager, Denver, CO
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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FINRA’s BrokerCheckSenior Vice President, Western Regional Director, Branch Manager, Denver, CO - David W. Hanson, CFP®Managing Director – Investments, Co-Manager In Charge
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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FINRA’s BrokerCheckManaging Director – Investments, Co-Manager In Charge - Christopher M. KellerExecutive Vice President, Director of Business Services
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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FINRA’s BrokerCheckExecutive Vice President, Director of Business Services - Thomas H. MartinExecutive Vice President, Chief Financial Officer
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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FINRA’s BrokerCheckExecutive Vice President, Chief Financial Officer - Lois M. PowellSenior Vice President, Director of Branch Development, Branch Manager, Sherman TX
Lois joined Benjamin F. Edwards & Co. in 2013, bringing with her nearly 30 years of financial services experience, including several as a regional manager responsible for Texas and New Mexico.
As Director of Branch Development, Lois is focused on growing the firm with new advisors by developing trusted relationships with advisor prospects and bringing new talent to our branch system.
Previously, Lois was a financial advisor for more than 15 years in the Dallas area before being named head of regional sales, and later a regional manager. She served as a market manager in Fort Worth and West Texas before retiring in 2011.
In her spare time, Lois loves to travel, play golf, and spend time with her husband, children, and 3 grandchildren.
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FINRA’s BrokerCheckSenior Vice President, Director of Branch Development, Branch Manager, Sherman TX - Libby RomackManaging Director – Investments, Branch Manager, Panama City, FL
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 PLANNERTM, 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 PLANNERTM, 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 PLANNERTM Board of Standards. Professionals who are awarded this accreditation demonstrate skill in analyzing situations and developing personalized long-term financial strategies. CERTIFIED FINANCIAL PLANNERTM Board of Standards Inc. owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNERTM in the U.S.
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FINRA’s BrokerCheckManaging Director – Investments, Branch Manager, Panama City, FL - Douglas D. RubensteinExecutive Vice President, Chief Operating Officer
Douglas “Doug” Rubenstein is chief operating officer (COO) at Benjamin F. Edwards & Co., where he leads the execution of strategies developed by the firm’s Executive Committee. He also oversees the functions and general operations of the firm and is responsible for the alignment and prioritization of company initiatives. In this role, he collaborates with the chief executive officer (CEO) in setting and driving organizational vision, operational strategy, and hiring needs to translate strategy into actionable goals for performance and growth.
He also leads Capital Markets initiatives for the firm that include investment banking, new-issue syndicate, trading as well as Corporate Communications. He is a member of the company’s management team, serves on the firm’s Executive Committee, and is a board member and shareholder.
Doug sourced, led and participated in transactions totaling more than $50 billion over his 30 years in investment banking. Before joining Benjamin F. Edwards & Co. in 2012, Doug served as 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 Real Estate Investment Trust (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 & Sons, Inc., managing a variety of transactions including leveraged buyouts, mergers and acquisitions, fairness opinions, and joint venture private placements.
As 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 in St. Louis and his bachelor’s degree, cum laude, in economics from Lake Forest College near Chicago. 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 were asked what celebrities would draw similarities to himself and his wife, he would say that Stacy reminds him of Mary Tyler Moore and that his mom thought he looks a bit like Dustin Hoffman. The Rubensteins have two awesome sons, David and Michael, born 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 because one of his mottos is: Life can be serious, but food, wine and traveling 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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FINRA’s BrokerCheckExecutive Vice President, Chief Operating Officer - Craig SchermerhornManaging Director - Investments
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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FINRA’s BrokerCheckManaging Director - Investments - Joanne M. WelkerSenior Vice President and Manager, Advisory Services, CFA
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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FINRA’s BrokerCheckSenior Vice President and Manager, Advisory Services, CFA - Christopher M. WhitingExecutive Vice President, Director of Sales & Marketing, CFP®
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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FINRA’s BrokerCheckExecutive Vice President, Director of Sales & Marketing, CFP® - Bill J. WisdomDirector of Regulatory & Oversight Services, Chief Compliance Officer
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.
Learn more about Regulatory and Oversight Services.
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FINRA’s BrokerCheckDirector of Regulatory & Oversight Services, Chief Compliance Officer
- P. Stephen Appelbaum
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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FINRA’s BrokerCheck - Pam BunnSenior Advisor-Executive Division
Pamela Edwards Bunn has served on our Board of Directors since 2008. A native of St. Louis, Pamela graduated in 1980 form the University of Virginia with a Bachelor of Arts in English. During college, she worked in the A.G. Edwards Research Department advising Financial Advisors. Following graduation, she lived in St. Petersburg, Florida for six years, where she produced publications for the Pinellas County Industry Council and later started and ran her own catering company.
Pamela is currently an employee at Benjamin F. Edwards & Co., assisting Tad Edwards on special projects in addition to being a writer, editor, mentor, and volunteer. She taught and advised Bible study classes for over 20 years in Raleigh, North Carolina. She serves on the Board of Bible Study Fellowship International, its Executive Support and Audit Committees and is Trustee Emeritus of St. David’s School in Raleigh.
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FINRA’s BrokerCheckSenior Advisor-Executive Division - Benjamin F. EdwardsChairman, CEO and President
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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FINRA’s BrokerCheckChairman, CEO and President - Wayne Grace, Sr.
Wayne Grace joined our Board of Directors in 2008. A Certified Public Accountant in both Missouri and Illinois, Wayne received his Bachelor of Science degree in Accounting from Northern Illinois University in 1966. He also attended the Management Study Program at the Washington University Graduate School of Business.
Wayne is a past director and past member of the Audit (chair) and Nominating and Corporate Governance Committees at Cass Systems, the nation’s leading provider of payment and information services for financial, accounts payable, transportation, logistics, and utility needs. He is currently the president of Mountain Oak General, Inc., a position he has held since September 2000, and in that capacity manages a related limited partnership and numerous trusts. Previously, he was the managing director at Grace Advisors and past chairman of CPAmerica International, a network of independent CPA and consulting firms.
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FINRA’s BrokerCheck - Mark Keller
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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FINRA’s BrokerCheck - Michael Medart
Michael (Mike) Medart joined our Board of Directors in 2008. Mike is the president and chief executive officer of Medart Inc., a third generation, 100-year-old family-owned and operated business based in Saint Louis that provides distribution and technical services for two industries: turf and industrial/commercial engines (Medart Engine) and pleasure marine products (Medart Marine). Mike holds a Bachelor of Arts degree in Business with a minor in History from Westminster College in Fulton, Missouri. He received an M.B.A. in Finance from St. Louis University in 1982.
Mike serves on the board of Benjamin F Edwards Inc., a full-service broker dealer and Registered Investment Advisor (RIA). He is a member of the Young Presidents Organization GOLD (YPO-Gold, formerly known as WPO). He is the Vice Chair of the National Association of Wholesaler-Distributors (NAW) board of Directors, an Advisory Board Member of UMB Bank of St. Louis (an affiliate of UMB Financial Corp), and an Advisory Board Member of The Chaifetz School of Business at Saint Louis University. He serves on Saint Louis University’s 3rd Century Campaign Board. Mike is a former member of Loyola University’s Family Business Center in Chicago where he helped create and launch the Institute for Private Business (IPB) at Saint Louis University in 2012. In addition, he is involved with many charities: Children’s Hunger Fund (Los Angeles); Covenant Theological Seminary (Saint Louis); Saint Louis University; and the United Way.
He resides in Saint Louis with his wife Susan of 29 years. They have three children: Griffin (daughter-in-law Allyson), Mason, and Hayden.
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FINRA’s BrokerCheck
- Martin W. AltenbergerExecutive Vice President, Director of Branches
Marty is the Director of Branches, responsible for leading the firm’s efforts in branch development, recruiting and branch services. In this role, Marty oversees the ever-expanding division responsible for recruiting and welcoming financial advisors to the firm, opening new branch offices and ongoing support of the branches and the branch staff. He is a member of the firm’s Executive Committee and holds executive leadership roles on a variety of committees at the firm.
Since joining Benjamin F. Edwards in 2009, Marty has navigated the successful opening of over 73 branch offices and has welcomed over 280 financial advisors in 27 states to the firm.
Previously, he served in a similar capacity at A.G. Edwards, a company he joined in 1983. During his tenure there, he held several leadership positions in the firm’s Operations and Branch divisions.
Marty holds Series 7, 8, 24, and 63 securities licenses.
Outside of work, he enjoys spending time with his wife and two daughters. Marty is a self-taught accomplished guitar player and performs regularly at a variety of St. Louis area venues. Often times, you will find Marty performing at Benjamin F. Edwards corporate events with Tad Edwards and financial advisors.
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FINRA’s BrokerCheckExecutive Vice President, Director of Branches - Kevin BarbeauTrading Services Specialist
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FINRA’s BrokerCheckTrading Services Specialist - Cam BeckerTechnical Engineer
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FINRA’s BrokerCheckTechnical Engineer - Robert BedenikovicAssociate Vice President and Manager, Asset Movement
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FINRA’s BrokerCheckAssociate Vice President and Manager, Asset Movement - Peter A. BiebelSenior Vice President, Alternative Products and Strategies
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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FINRA’s BrokerCheckSenior Vice President, Alternative Products and Strategies - Laura BlomstromAssociate Vice President and Manager Accounting
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FINRA’s BrokerCheckAssociate Vice President and Manager Accounting - Renee BohallExecutive Assistant
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FINRA’s BrokerCheckExecutive Assistant - Cynthia L. BohmeCorporate Secretary, Executive Vice President, Director of Staff Division
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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FINRA’s BrokerCheckCorporate Secretary, Executive Vice President, Director of Staff Division - Bruce L. BuerkleSenior Vice President and Manager, Securities Research
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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FINRA’s BrokerCheckSenior Vice President and Manager, Securities Research - Pam BunnSenior Advisor-Executive Division
Pamela Edwards Bunn has served on our Board of Directors since 2008. A native of St. Louis, Pamela graduated in 1980 form the University of Virginia with a Bachelor of Arts in English. During college, she worked in the A.G. Edwards Research Department advising Financial Advisors. Following graduation, she lived in St. Petersburg, Florida for six years, where she produced publications for the Pinellas County Industry Council and later started and ran her own catering company.
Pamela is currently an employee at Benjamin F. Edwards & Co., assisting Tad Edwards on special projects in addition to being a writer, editor, mentor, and volunteer. She taught and advised Bible study classes for over 20 years in Raleigh, North Carolina. She serves on the Board of Bible Study Fellowship International, its Executive Support and Audit Committees and is Trustee Emeritus of St. David’s School in Raleigh.
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FINRA’s BrokerCheckSenior Advisor-Executive Division - Brad ChapmanAdvisory Operations Specialist
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FINRA’s BrokerCheckAdvisory Operations Specialist - Sam ChisholmInvestment Banking Analyst
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FINRA’s BrokerCheckInvestment Banking Analyst - Karen ClinesAsset Movement Specialist
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FINRA’s BrokerCheckAsset Movement Specialist - E. Allen ColeDirector of Law & Legal Services, Chief Counsel
As a leader in the Regulatory and Compliance segment of the industry since 1993, Allen Cole successfully guides financial advisors through the maze of the ever-changing regulatory landscape. His special talent: shaping regulatory requirements into actionable steps that help financial advisors accomplish their goals.
Allen joined Benjamin F. Edwards & Co. in 2008 and manages the legal compliance and regulatory activities of the firm as Executive Director of Law and Compliance, and Chief Counsel.
A graduate of the Washington University School of Law, Allen also received a Bachelor of Arts degree in Business Administration from Ouachita Baptist University in 1982.
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FINRA’s BrokerCheckDirector of Law & Legal Services, Chief Counsel - Elaine ConwaySenior Vice President, Manager, Corporate Communications
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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FINRA’s BrokerCheckSenior Vice President, Manager, Corporate Communications - Bernice CrenshawReceptionist
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FINRA’s BrokerCheckReceptionist - Dawn DanforthAccounts Payable Specialist
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FINRA’s BrokerCheckAccounts Payable Specialist - Robert DanielAssociate Vice President, Compliance Associate, Surveillance
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FINRA’s BrokerCheckAssociate Vice President, Compliance Associate, Surveillance - Brian DavisTechnology Engineer
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FINRA’s BrokerCheckTechnology Engineer - Lisa DavisAssociate Vice President, Branch Supervision Specialist
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FINRA’s BrokerCheckAssociate Vice President, Branch Supervision Specialist - Gina DickersonVice President, Branch Relationship Administrator
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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FINRA’s BrokerCheckVice President, Branch Relationship Administrator - Rob DonaldsonCorporate Communications Creative Manager
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FINRA’s BrokerCheckCorporate Communications Creative Manager - Anne EckerTechnology Services Specialist
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FINRA’s BrokerCheckTechnology Services Specialist - Benjamin F. EdwardsChairman, CEO and President
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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FINRA’s BrokerCheckChairman, CEO and President - Brett EdwardsAssociate Vice President and Sales Productivity Strategist
Brett serves as a Sales Productivity Strategist in the Sales & Marketing division of Benjamin F. Edwards & Co. Joining the firm in 2014, he is charged with the sharing of best practices among advisors, managers and branch personnel. Much of his focus is on helping to maximize efficiency using our firm’s technology and tools. His delivery is done primarily via branch visits and training events. Each interaction is tailored to the needs of individual advisors and where they want to take their business.
His foundation at Edwards is in providing financial planning software support as well as assisting our firm’s financial advisors with financial planning analysis including asset allocation strategies, retirement planning strategies, and Monte Carlo-style simulation. Additionally, Brett manages a variety of product and service marketing materials and securities research content.
Brett has an established background in analytics and reporting and has served in project management, training and development, marketing support, in-person sales and customer service roles. Brett is a graduate of Loyola University Chicago where he earned a Bachelor of Business Administration degree in Marketing and International Business. Outside of work, he enjoys playing the drums, golfing, hiking and spending time with his wife and three children.
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FINRA’s BrokerCheckAssociate Vice President and Sales Productivity Strategist - Adela FinertyBusiness Process Improvement, Project Manager
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FINRA’s BrokerCheckBusiness Process Improvement, Project Manager - Michael FitzgeraldAnnuity and Life Insurance Processing Specialist
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FINRA’s BrokerCheckAnnuity and Life Insurance Processing Specialist - Charlotte FoleyAssociate Vice President, Senior Advisory Operations Specialist
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FINRA’s BrokerCheckAssociate Vice President, Senior Advisory Operations Specialist - Chris FosterSales and Supervisory Practices Associate
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FINRA’s BrokerCheckSales and Supervisory Practices Associate - David FrankManaging Director and Co-Head of Investment Banking
David Frank joined Benjamin F. Edwards in 2020 following a thirty-year career as an investment banker at large investment banking firms in New York City. David worked in senior roles at four different major investment banks, advising a wide array of clients across varied industries including retail, consumer products & services, distribution, food & beverage, industrials and transportation. He brings to Benjamin F. Edwards extensive experience and expertise in mergers, acquisitions, corporate sales and divestitures, leveraged debt financing, financial restructurings and equity capital raising.
David has advised a broad variety of larger and mid-cap clients on strategic M&A and important corporate financing transactions. Most recently, David headed the Consumer & Retail investment banking industry group at RBC Capital Markets. He previously was the head of Retail investment banking at both Credit Suisse and Wells Fargo Securities. He also worked for several years advising and financing industrial and transportation clients at Lehman Brothers. David’s advisory clients have included such larger companies as Walmart, 7-Eleven and Restaurant Depot, as well as mid-cap leaders like Schnucks Markets, Smile Brands, Meineke/Maaco and Strategic Partners.
David served as a Charter Member of the Executive Advisory Council of Feeding America, the largest U.S. non-governmental food assistance organization, and a Trustee of Business Today at Princeton University. He graduated from Princeton University with an AB magna cum laude, and obtained an MBA from Harvard Business School.
David was raised in St. Louis, and then pursued his career in investment banking in New York City where he and his wife Dawn raised two sons in Manhattan. They enjoy spending time with family, skiing, biking, travel and being outdoors. David is also an avid reader and has remained a staunch St. Louis sports fan.
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FINRA’s BrokerCheckManaging Director and Co-Head of Investment Banking - Nick FrigerioPlanning and Research Associate, Associate Vice President
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FINRA’s BrokerCheckPlanning and Research Associate, Associate Vice President - Susan FrigerioSenior Manager, Business Process & Delivery
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FINRA’s BrokerCheckSenior Manager, Business Process & Delivery - Terri FrigerioVice President, Executive Assistant
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FINRA’s BrokerCheckVice President, Executive Assistant - Theresa A. FrySenior Vice President and Manager, IRAs and Retirement Planning
Theresa joined Benjamin F. Edwards & Co. in 2011 as a vice president and manager of IRA and retirement plans. In this capacity, she works with the firm’s financial advisors and clients on retirement planning issues and strategies.
Previously, Theresa served in a similar role for more than 10 years at A.G. Edwards. She also worked with clients and the firm’s financial advisors, and guided the development of communications materials to support the area. In addition, she served as the firm’s media spokesperson on retirement issues, appearing frequently on CNBC and quoted in USA Today, Money, and BusinessWeek.
Prior to joining A.G. Edwards, Theresa worked as a department leader in Retirement Operations for Edward Jones.
Theresa is a graduate of Southern Illinois University – Edwardsville, and holds her Series 7 and 63 licenses. She also holds life and health insurance licenses and long-term care certification.
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FINRA’s BrokerCheckSenior Vice President and Manager, IRAs and Retirement Planning - Moises GarzaMoises Garza, Investment Banking Associate
Moises has 5 years of experience in finance across a range of industries. Prior to joining Benjamin F. Edwards, Moises worked as a Financial Analyst at Harris County Public Health where he created financial models and business intelligence dashboards. Prior to that, Moises was a Credit Analyst at Weatherford International where he adjudicated lines of credit for clients in Latin America, United States, and Canada. His most recent experience before joining Benjamin F. Edwards includes an internship within PwC’s valuation group in Chicago.
Moises obtained a Bachelor of Science from the University of Houston and an MBA from the Kelley School of Business at Indiana University. Additionally, he completed an MBA exchange program at China Europe International Business School (CEIBS) in Shanghai.
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FINRA’s BrokerCheckMoises Garza, Investment Banking Associate - Byron GoodrichAssociate Vice President and Marketing Associate
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FINRA’s BrokerCheckAssociate Vice President and Marketing Associate - Justin HarderApplication Engineer
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FINRA’s BrokerCheckApplication Engineer - Craig HarrisonSenior Vice President & Manager, Registration
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FINRA’s BrokerCheckSenior Vice President & Manager, Registration - Josh HayesVice President, National Branch Development
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FINRA’s BrokerCheckVice President, National Branch Development - Chad HaynesAssociate Vice President, Branch Transition Specialist
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FINRA’s BrokerCheckAssociate Vice President, Branch Transition Specialist - Asha HeardNew Account Associate
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FINRA’s BrokerCheckNew Account Associate - Jay HermanSenior Application Engineer
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FINRA’s BrokerCheckSenior Application Engineer - Ben HolmanDirector, Business Development
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FINRA’s BrokerCheckDirector, Business Development - Lou HowellAssociate Vice President and Compliance Associate – Surveillance
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FINRA’s BrokerCheckAssociate Vice President and Compliance Associate – Surveillance - Thomas HudsonAdvisory Investment Analyst
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FINRA’s BrokerCheckAdvisory Investment Analyst - Chris HustedTeam Leader, Application Services
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FINRA’s BrokerCheckTeam Leader, Application Services - Keith IsenbergHR Business Partner, Employee Relations Specialist
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FINRA’s BrokerCheckHR Business Partner, Employee Relations Specialist - Casey JacksonSenior Vice President, Senior Manager, Technology Services & Innovation
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FINRA’s BrokerCheckSenior Vice President, Senior Manager, Technology Services & Innovation - Colleen JohnsonVice President, Branch Supervision Associate
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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FINRA’s BrokerCheckVice President, Branch Supervision Associate - Christopher M. KellerExecutive Vice President, Director of Business Services
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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FINRA’s BrokerCheckExecutive Vice President, Director of Business Services - Marc KesslerRegulatory Exams/Internal Testing
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FINRA’s BrokerCheckRegulatory Exams/Internal Testing - Monica KeziahSenior Trading Services Specialist
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FINRA’s BrokerCheckSenior Trading Services Specialist - Zak KomoromiTechnology Services Specialist
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FINRA’s BrokerCheckTechnology Services Specialist - Marty KylerCompliance Communications Associate
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FINRA’s BrokerCheckCompliance Communications Associate - Alex LamTeam Leader, Technology Services
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FINRA’s BrokerCheckTeam Leader, Technology Services - Kim S. LandrySenior Vice President and Manager, Advisor Development and Growth
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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FINRA’s BrokerCheckSenior Vice President and Manager, Advisor Development and Growth - Nina LawVice President & Registered Senior Trade Services Specialist
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FINRA’s BrokerCheckVice President & Registered Senior Trade Services Specialist - Gina LawlorPlanning and Research Associate
Gina began her career working for A.G. Edwards & Sons. 30 years ago. The early stages of her career
were within the Operations Division and particularly the Margin Department which gave her a vision of
broad knowledge into the entire industry.Gina came to Benjamin F. Edwards in early 2013 starting in the Fee Based Operations/Advisory Business
where she assisted in setting up advisory accounts and billing for clients and Home Office.After many years in operations Gina accepted a position in the Branch Division working as a Branch
Transition Specialist for 3 years. Assisting in opening new branch offices and transitioning advisors into
existing offices at Edwards was most rewarding as our firm continues to grow. Seeing the smiles on
the FA and client faces as they walk into the door for the first time is the most gratifying feeling you can
have in the industry. This is where the “client first” relationship begins.Currently Gina works with our advisors as a Financial Planning Associate under the Sales & Marketing
Division. She assists FA’s in building Financial Plans for clients utilizing various planning tools.
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FINRA’s BrokerCheckPlanning and Research Associate - Sharon LeschAdvisory Operations Specialist
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FINRA’s BrokerCheckAdvisory Operations Specialist - Yari A. LindoSenior Vice President and Manager, Trading Services
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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FINRA’s BrokerCheckSenior Vice President and Manager, Trading Services - Christie LivelyCredit Operations Specialist
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FINRA’s BrokerCheckCredit Operations Specialist - Eric LoySenior Vice President & Manager – Branch Supervision
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FINRA’s BrokerCheckSenior Vice President & Manager – Branch Supervision - Glen MagparangalanAssociate Vice President and Senior Information Security Lead
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FINRA’s BrokerCheckAssociate Vice President and Senior Information Security Lead - Jared MarrInvestment Banking Analyst
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FINRA’s BrokerCheckInvestment Banking Analyst - Bret MartinSenior Vice President, Senior Manager, Information & Analytics
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FINRA’s BrokerCheckSenior Vice President, Senior Manager, Information & Analytics - Thomas H. MartinExecutive Vice President, Chief Financial Officer
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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FINRA’s BrokerCheckExecutive Vice President, Chief Financial Officer - Jim MastersonVice President, Branch Supervision Specialist
Branch managers need supervision too, and that’s precisely what Jim Masterson does for Benjamin F. Edwards & Co. in his position as a branch manager review administrator. In this capacity, Jim oversees the sales practices and activities of the firm’s producing branch managers. Jim joined Benjamin F. Edwards & Co. in 2010 after a distinguished 25-year career at A.G. Edwards.
While at A.G. Edwards, Jim initially worked in Operations and then accepted a position in Compliance as a sales practice associate. He then moved to the firm’s Law Department as a client service representative where he worked with company personnel and clients to gather the information needed to address concerns and reach equitable resolutions.
In 2003, Jim moved to the Branch Division Manager Review team and assisted regional managers with their supervisory responsibilities of producing branch managers.
Jim is a graduate of the University of Missouri – St. Louis and currently holds his Series 7, 8, 24, 63 and 65, and insurance licenses.
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FINRA’s BrokerCheckVice President, Branch Supervision Specialist - Jane MatoesianSenior Vice President, Managing Counsel
Phone: 314-480-1170
Email: jane.matoesian@nullbenjaminfedwards.comLearn more about Law and Compliance.
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FINRA’s BrokerCheckSenior Vice President, Managing Counsel - Julie McCallisterVice President, Senior Branch Supervision Specialist
Julie is associate vice president and branch manager supervision administrator of Branch Services at Benjamin F. Edwards & Co. Joining the firm in 2011, Julie is responsible for sales practices and activities of the firm’s producing branch managers.
With over 25 years of financial services industry experience, Julie has held positions as branch operations supervisor, margin clerk, and branch operations trainer where she provided branch office support by opening new branch offices as well as personnel training in existing offices. More recently, she was a special projects administrator where she produced various reference materials for branch personnel, assisted branch managers with training and managed the advisor retirement transition.
She holds the Series 7, 9/10, and 63 licenses. Outside of work, Julie likes to stay active, enjoys traveling and cooking.
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FINRA’s BrokerCheckVice President, Senior Branch Supervision Specialist - Peter McCarthySenior Vice President and Manager, Regulatory Initiatives
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FINRA’s BrokerCheckSenior Vice President and Manager, Regulatory Initiatives - Ann McLaughlinVice President, Senior Trading Service Specialist
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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FINRA’s BrokerCheckVice President, Senior Trading Service Specialist - Erica McPhersonMarketing Associate
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FINRA’s BrokerCheckMarketing Associate - Philip MetzgerVice President - Investment Banking
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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FINRA’s BrokerCheckVice President - Investment Banking - Alexander MinderTechnology Engineer
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FINRA’s BrokerCheckTechnology Engineer - Tim MoranVice President and Senior Manager, Operations Risk
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FINRA’s BrokerCheckVice President and Senior Manager, Operations Risk - Nicole MorganAsset Movement Specialist
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FINRA’s BrokerCheckAsset Movement Specialist - Matt MucklerSenior Vice President, Assistant Chief Compliance Officer, Investment Advisory
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FINRA’s BrokerCheckSenior Vice President, Assistant Chief Compliance Officer, Investment Advisory - Carla MuntonAssociate Vice President and Financial Planning Associate
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FINRA’s BrokerCheckAssociate Vice President and Financial Planning Associate - Lisa MurphyAssociate Vice President, Executive Assistant, Team Leader
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FINRA’s BrokerCheckAssociate Vice President, Executive Assistant, Team Leader - Courtney O’dellNew Account Specialist
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FINRA’s BrokerCheckNew Account Specialist - Michael OelkersApplication Engineer
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FINRA’s BrokerCheckApplication Engineer - Edward “Ed” V. O’NealSenior Vice President and Manager, Retirement Plans
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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FINRA’s BrokerCheckSenior Vice President and Manager, Retirement Plans - Dan O’VeryAssociate Vice President and Team Lead, Compliance Communications
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FINRA’s BrokerCheckAssociate Vice President and Team Lead, Compliance Communications - Daniel ParishAssociate Vice President, Senior Financial Analyst
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FINRA’s BrokerCheckAssociate Vice President, Senior Financial Analyst - Bob PatrickVice President, Manager, Sales and Supervisory Practices
Bob is associate vice president in the sales practice and communications approval areas of the Compliance department at Benjamin F. Edwards & Co. Since joining the firm in 2012, his responsibilities include reviewing communications, branch office inspections, training supervisors and maintaining firm policies and procedures.
Bob has more than 30 years of experience in the financial services industry, including insurance sales, all areas of operations and compliance. He has worked with insurance companies, options clearing companies and broker-dealer firms.
Bob has his Series 4, 7, 8, 24, 63 and 65 licenses. He lives in Glen Carbon, IL with his wife, Beth, and four children. Bob enjoys spending time with his family and his hobbies include playing golf, tennis, cycling and reading.
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FINRA’s BrokerCheckVice President, Manager, Sales and Supervisory Practices - Adam PeifferCredit & Retirement Operations Specialist
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FINRA’s BrokerCheckCredit & Retirement Operations Specialist - Debi PicklerGraphic Designer
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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FINRA’s BrokerCheckGraphic Designer - Debbie PlackeVice President, Manager, Financial Planning Marketing and Tools
Debbie is vice president and supervisor of Planning and Research in the Private Client Services group at Benjamin F. Edwards & Co. Joining the firm in 2010, she is responsible for providing financial planning software support as well as assist the firm’s financial advisors with financial planning analysis including asset allocation, retirement planning, and Monte Carlo-style simulation. In addition, Debbie develops and manages a variety of product and service marketing materials and related projects.
With over 16 years of financial industry experience, Debbie held a similar role as a financial planning associate where she gained valuable experience preparing analysis, illustrations, and projections using financial planning software and applications to evaluate the current financial position of clients.
Debbie is a graduate of Southeast Missouri State University – Cape Girardeau where she earned a Bachelor of Science degree in Business Administration. She holds her FINRA Series 7, 63 and 65 licenses.
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FINRA’s BrokerCheckVice President, Manager, Financial Planning Marketing and Tools - Brian PolitteClient Workflow Specialist
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FINRA’s BrokerCheckClient Workflow Specialist - Stacey ReganAssociate Vice President, Securities & Insurance Licensing Administrator
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FINRA’s BrokerCheckAssociate Vice President, Securities & Insurance Licensing Administrator - Michelle ReillyAssociate Vice President and Team Leader – Asset Movement
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FINRA’s BrokerCheckAssociate Vice President and Team Leader – Asset Movement - Cheryl RenthRetirement Operations Specialist
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FINRA’s BrokerCheckRetirement Operations Specialist - Gregg RichterVice President and Manager, Finance
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FINRA’s BrokerCheckVice President and Manager, Finance - Joe RileyAssociate Vice President, Advisor Directed Portfolio Analyst
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FINRA’s BrokerCheckAssociate Vice President, Advisor Directed Portfolio Analyst - Chris RobertAccounting Specialist
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FINRA’s BrokerCheckAccounting Specialist - Brooke RomeroTeam Leader, Client Workflow
Brooke is associate vice president and manager of New Accounts and Document Control at Benjamin F. Edwards & Co. Joining the firm in 2009, she is responsible for client onboarding which includes the production and process of reviewing new accounts, document processing and account maintenance. In addition, she monitors performance, analyzes and implements new or updated applications required for processing.
With more than 18 years of operations experience in the financial services industry, Brooke served in a similar role as a new accounts specialist. Most recently, she worked as an escalation analyst in the Account Opening and Maintenance areas. In that capacity, she researched and resolved issues that occurred during the account opening process, made recommendations for process improvement, and helped with the conversion to a new operating system for the area.
She received her Associate’s degree in Psychology from East Central College in Union, Missouri. Brooke holds her FINRA Series 99 license. Outside of work, she likes to spend time with her family, watch sports and listen to music.
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FINRA’s BrokerCheckTeam Leader, Client Workflow - Kayla RossVice President, HR Business Partner/Benefits Specialist
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FINRA’s BrokerCheckVice President, HR Business Partner/Benefits Specialist - Michael RossAssociate Vice President, AML Risk Specialist
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FINRA’s BrokerCheckAssociate Vice President, AML Risk Specialist - Douglas D. RubensteinExecutive Vice President, Chief Operating Officer
Douglas “Doug” Rubenstein is chief operating officer (COO) at Benjamin F. Edwards & Co., where he leads the execution of strategies developed by the firm’s Executive Committee. He also oversees the functions and general operations of the firm and is responsible for the alignment and prioritization of company initiatives. In this role, he collaborates with the chief executive officer (CEO) in setting and driving organizational vision, operational strategy, and hiring needs to translate strategy into actionable goals for performance and growth.
He also leads Capital Markets initiatives for the firm that include investment banking, new-issue syndicate, trading as well as Corporate Communications. He is a member of the company’s management team, serves on the firm’s Executive Committee, and is a board member and shareholder.
Doug sourced, led and participated in transactions totaling more than $50 billion over his 30 years in investment banking. Before joining Benjamin F. Edwards & Co. in 2012, Doug served as 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 Real Estate Investment Trust (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 & Sons, Inc., managing a variety of transactions including leveraged buyouts, mergers and acquisitions, fairness opinions, and joint venture private placements.
As 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 in St. Louis and his bachelor’s degree, cum laude, in economics from Lake Forest College near Chicago. 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 were asked what celebrities would draw similarities to himself and his wife, he would say that Stacy reminds him of Mary Tyler Moore and that his mom thought he looks a bit like Dustin Hoffman. The Rubensteins have two awesome sons, David and Michael, born 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 because one of his mottos is: Life can be serious, but food, wine and traveling 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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FINRA’s BrokerCheckExecutive Vice President, Chief Operating Officer - Alex SanchezAssociate Vice President and Team Leader – Credit & Retirement Operations
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FINRA’s BrokerCheckAssociate Vice President and Team Leader – Credit & Retirement Operations - Sheila SatterfieldPayroll Specialist
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FINRA’s BrokerCheckPayroll Specialist - Shelby SchagrinManaging Director and Co-Head of Investment Banking
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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FINRA’s BrokerCheckManaging Director and Co-Head of Investment Banking - Daniel J. “Dan” SchulteSenior Vice President and Manager, Annuities and Insurance
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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FINRA’s BrokerCheckSenior Vice President and Manager, Annuities and Insurance - Jennifer SchultzeAssociate Vice President, Compliance Employee Activities, Team Lead
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FINRA’s BrokerCheckAssociate Vice President, Compliance Employee Activities, Team Lead - Maggie ShankAssociate Vice President, Branch Development Specialist
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FINRA’s BrokerCheckAssociate Vice President, Branch Development Specialist - Accountant
- Diane SinglerAssociate Vice President, Senior Annuity & Life Insurance Processing Specialist
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FINRA’s BrokerCheckAssociate Vice President, Senior Annuity & Life Insurance Processing Specialist - Lori SmithVice President and Manager Payroll
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FINRA’s BrokerCheckVice President and Manager Payroll - Vanessa SomervilleVice President and Manager, Human Resources
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FINRA’s BrokerCheckVice President and Manager, Human Resources - Kristen SoutherlandVice President, Manager, Advisory Operations
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FINRA’s BrokerCheckVice President, Manager, Advisory Operations - Katelyn StevensSenior Vice President, Assistant Chief Compliance Officer, Brokerage
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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FINRA’s BrokerCheckSenior Vice President, Assistant Chief Compliance Officer, Brokerage - Michele TannerBranch Supervision Associate
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FINRA’s BrokerCheckBranch Supervision Associate - Counsel
- Dani ThorntonTechnology Services Specialist
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FINRA’s BrokerCheckTechnology Services Specialist - Yvonne TrentmanSenior Vice President and Senior Manager, Branch Services
With years of industry experience and a well-deserved reputation for providing outstanding client service, Yvonne joined Benjamin F. Edwards & Co. in 2009 as a vice president and manager of Branch Services. In this capacity, Yvonne works closely with the firm’s regional managers and acts as a liaison between the firm’s Home Office and its branch offices.
Yvonne began her financial services career in 1981 at A.G. Edwards in Bond Operations and later moved to the Reorganization Department to manage day-to-day activities within the bond redemption area. In 1995, given her knowledge of the securities industry and her client-friendly demeanor, Yvonne was asked to establish the Client Services Department within the firm’s Law Department. The new department worked with the firm’s branches and clients to address client concerns, answer questions, facilitate settlements and to identify information required for regulatory reporting.
Yvonne holds the Series 7, 8, 24, and 63 licenses.
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FINRA’s BrokerCheckSenior Vice President and Senior Manager, Branch Services - Chris TrovitchBranch Supervision Associate
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FINRA’s BrokerCheckBranch Supervision Associate - Brian TurntineVice President & Fixed Income Trader
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FINRA’s BrokerCheckVice President & Fixed Income Trader - Chuck VanGronigenVice President and Manager, Recruiting Strategy & Administration
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FINRA’s BrokerCheckVice President and Manager, Recruiting Strategy & Administration - Marlyn Van MeterBranch Services and Development
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FINRA’s BrokerCheckBranch Services and Development - Allison WashausenTechnology Services Specialist
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FINRA’s BrokerCheckTechnology Services Specialist - Peggy WebbAdvisory Operations Specialist
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FINRA’s BrokerCheckAdvisory Operations Specialist - Joanne M. WelkerSenior Vice President and Manager, Advisory Services, CFA
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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FINRA’s BrokerCheckSenior Vice President and Manager, Advisory Services, CFA - Christopher M. WhitingExecutive Vice President, Director of Sales & Marketing, CFP®
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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FINRA’s BrokerCheckExecutive Vice President, Director of Sales & Marketing, CFP® - Joel A. WiesehanSenior Vice President and Manager, Fixed Income
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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FINRA’s BrokerCheckSenior Vice President and Manager, Fixed Income - Aaron WilkersonAssociate Vice President, Senior Application Engineer
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FINRA’s BrokerCheckAssociate Vice President, Senior Application Engineer - Travis WilkinsonAssociate Vice President, Senior Technical Engineer
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FINRA’s BrokerCheckAssociate Vice President, Senior Technical Engineer - Cathy WilsonAdministrative Assistant
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FINRA’s BrokerCheckAdministrative Assistant - Julie WilsonVice President, Branch Supervision Specialist
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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FINRA’s BrokerCheckVice President, Branch Supervision Specialist - Jerry WingbermuehleSenior Vice President & Manager, Legal Services
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FINRA’s BrokerCheckSenior Vice President & Manager, Legal Services - Corey E. WintersVice President and Senior Manager, RIA Operations
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FINRA’s BrokerCheckVice President and Senior Manager, RIA Operations - Bill J. WisdomDirector of Regulatory & Oversight Services, Chief Compliance Officer
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.
Learn more about Regulatory and Oversight Services.
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FINRA’s BrokerCheckDirector of Regulatory & Oversight Services, Chief Compliance Officer - Jeffrey R. WolfeSenior Vice President and Manager, Wealth Planning Strategies
As Vice President and Manager of estate planning strategy and affluent client services, Jeff consults with financial advisors and their clients to explore estate planning and affluent client strategies designed to help clients’ achieve lifetime and legacy goals for themselves and their beneficiaries. Jeff is also responsible for the firm’s Home Office Visit program where affluent clients come to the firm’s St. Louis headquarters to meet with the company’s subject matter experts for a comprehensive financial review. Jeff’s responsibilities also include generating training and marketing materials on subjects of interest for the firm and its clients.
Jeff joined Benjamin F. Edwards & Co. in 2013. Previously, Jeff spent ten years with Edward Jones where he initially served as counsel in their Trust Company before assuming a similar estate planning and affluent client strategist role. Before joining Edward Jones Jeff was in private practice at a law firm in St. Louis County.
Jeff is a member of the Missouri Bar, the Estate Planning Council of St. Louis, the Real Property, Probate and Trust Section of the American Bar Association. He also holds his Series 7, 24 and 66 licenses. Jeff earned his B.A. from Westminster College, and his J.D. from Indiana University-Indianapolis.
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FINRA’s BrokerCheckSenior Vice President and Manager, Wealth Planning Strategies - Lisa WiesemanCapital Markets, Administrative Assistant
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FINRA’s BrokerCheckCapital Markets, Administrative Assistant
RELATIONSHIPS ARE THE CORNERSTONE OF OUR SUCCESS.
Jane Matoesian is Senior Vice President and Managing Counsel in the Law Department. With more than 30 years of legal experience, she has worked for nearly 27 years in a legal capacity in the financial services industry. Her practice has included representing and counseling clients in civil litigation, enforcement matters, internal investigations, compliance, and general corporate affairs. Jane joined Benjamin F. Edwards & Co. in 2011 and currently serves as Managing Counsel handling day‐to‐day legal activities of the firm.
Jane is a graduate of the Dedman School of Law at Southern Methodist University and received her B.A. cum laude from the University of Notre Dame. Prior to beginning the active practice of law, she served as Law Clerk to the Honorable Joseph H. Goldenhersh of the Illinois Supreme Court. Jane is active in industry groups and has served as a member of and speaker for various industry and legal organizations, including FINRA, the SIFMA Law & Compliance Division, and the Bar Association of Metropolitan St. Louis.