Law and Compliance
- Jerome “Jerry” J. WingbermuehleVice President and Manager, Legal ServicesVice President and Manager, Legal Services
- Robert DanielCompliance Associate - SurveillanceCompliance Associate - Surveillance
- Lou HowellAssociate Vice President and Compliance Associate – SurveillanceAssociate Vice President and Compliance Associate – Surveillance
- Alex LawsonCompliance AssociateCompliance Associate
- Peter McCarthySenior Vice President and Manager, Regulatory InitiativesSenior Vice President and Manager, Regulatory Initiatives
- Matt MucklerAssociate Vice President & Manager, Investment Advisory ComplianceAssociate Vice President & Manager, Investment Advisory Compliance
- Dan O’VeryAssociate Vice President and Compliance Associate, Communications ApprovalsAssociate Vice President and Compliance Associate, Communications Approvals
- Bob PatrickAssociate Vice President and Team Leader-Sales & 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.Associate Vice President and Team Leader-Sales & Supervisory Practices
- Jennifer SchultzeAssociate Vice President and Compliance AssociateAssociate Vice President and Compliance Associate
- Katelyn StevensAssociate Vice President and Manager, Surveillance
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.Associate Vice President and Manager, Surveillance
- Bill J. WisdomSenior Vice President and Chief Compliance Officer
Bill is senior vice president and chief compliance officer at Benjamin F. Edwards & Co. Joining the firm in 2009, his primary responsibilities include overseeing the firm’s compliance programs as well as developing and maintaining written supervisory procedures, reviewing retail communications and managing branch office reviews. He is uniquely positioned to offer insight in these critical areas, having spent more than 25 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 a number of industry licenses, 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. In his free time, he enjoys spending time with his family, woodworking and reading.Senior Vice President and Chief Compliance Officer