MA-A 0001445065 XXXXXXXX Cynthia L. Bohme 314-726-1600 cindy.bohme@benjaminfedwards.com cindy.bohme@benjaminfedwards.com craig.harrison@benjaminfedwards.com 12-31-2019 Y BENJAMIN F. EDWARDS & COMPANY, INC. 146936 Benjamin F. Edwards 26-3199152 866-00819-00 867-01213 008-68023 146936 801-71421 146936 CFTC/NFA 0425318 INSURANCE AGENCY LICENSE 14337909 MSRB A-6963 ONE NORTH BRENTWOOD BLVD, SUITE 850 ST. LOUIS MO 63105 314-726-1600 314-726-1601 N benjaminfedwards.com Delete www.getinwithbenedwards.com Add www.facebook.com Add www.youtube.com Add www.linkedin.com Add https://twitter.com Billy Joe Wisdom

One North Brentwood, Suite 850 St. Louis MO 63105

314-726-1600 314-726-1601 bill.wisdom@benjaminfedwards.com Cynthia Lyn Bohme

One North Brentwood, Suite 850 St. Louis MO 63105

314-726-1600 314-726-1601 cindy.bohme@benjaminfedwards.com Delete SMARSH INC. 921 SW WASHINGTON STREET SUITE 540 PORTLAND OR 97205 971-998-9967 718-874-6980 RECORDS RETAINED AT SMARSH INCLUDE EMAIL AND SOCIAL MEDIA COMMUNICATIONS WITH THE PUBLIC. Amend ALBRIDGE SOLUTIONS 1800 American Blvd Suite 300 Pennington NJ 08534 201-395-1456 201-413-9141 RECORDS KEPT INCLUDE DOCUMENTS ASSOCIATED WITH AN ACCOUNT OPENING AND MAINTANENCE. Add Iron Mountain 11741 MISSOURI BOTTOM RD. Hazelwood MO 63042 314-731-1174 OFFSITE STORAGE OF CERTAIN BOOKS AND RECORDS. NewAdd Global Relay 233 S. Wacker 84th Floor Chicago IL 60606 866-484-6630 ARCHIVAL OF ELECTRONIC COMMUNICATIONS. Benjamin Edwards, Inc. Y State of Missouri MO MSHB, Inc. Y State of Missouri MO Benjamin F. Edwards & Co., Insurance Agency Y State of Missouri MO Benjamin F. Edwards Wealth Management, LLC Y SEC 801-113797 December MO 08-19-2008 N 509 5 1 1 1 0 0 Not Applicable 0 0 0 Not Applicable Other commissions on investment products Not Applicable BFEC receives incentive compensation from its clearing firm in connection with growth in the firm's asset base; in addition, BFEC receives 12b-1 and other "trail" payments, as well as marketing support payments, from product sponsors. Advice Investment Of Proceeds MS Advice ME Other Investments Y Y Y Y Y Y Y CFTC/NFA N Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Insurance company or agency Pension consultant 1 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Insurance company or agency Pension consultant BENJAMIN F EDWARDS & CO., INC. BENJAMIN F EDWARDS & CO., INC. N Y N N Y N Y N Y N N Y Y Y Y Y N N Benjamin Edwards Inc., identified in Schedule A-1, has many owners of which none hold 25% or more ownership nor controls voting rights for more than 25% of the outstanding shares. N Y N N Y Y N Y Y Y Y N Y Y Y Y N Y N N N N N N N N BENJAMIN EDWARDS, INC. N 26-3472087 OWNER 10-01-2008 E Y MARTIN WADE ALTENBERGER DIRECTOR/DIRECTOR OF BRANCH SERVICES, REGIONAL MANAGER 05-01-2010 NA Y 001230104 CYNTHIA LYN BOHME DIRECTOR/CORPORATE SECRETARY/DIRECTOR OF STAFF DIVISION 08-17-2015 NA Y 001079852 ROGER ALLEN BULLER DIRECTOR/REGIONAL MANAGER 11-01-2010 NA N 001547996 KORTNEY JUSTINE CHRISTENSEN DIRECTOR/DIRECTOR OF SALES & MARKETING 08-01-2013 NA Y 003208670 EDGAR ALLEN COLE II DIRECTOR/CHEIF COMPLIANCE OFFICER & COUNSEL 11-01-2008 NA Y 002362072 BLAKE ROBERT DUNLOP DIRECTOR/REGIONAL MANAGER 01-01-2012 NA N 001276883 SANDRA LYNN DYE DIRECTOR/ASSISTANT DIRECTOR OF OPERATIONS 11-01-2013 NA N 001837762 BENJAMIN FRANKLIN EDWARDS IV CHAIRMAN/CHIEF EXECUTIVE OFFICER, PRESIDENT 08-01-2008 NA Y 001061490 MARK PATTERSON FELLOWS DIRECTOR/REGIONAL MANAGER 11-01-2013 NA N 001600661 JOHN WILLIAM FORRESTER DIRECTOR/REGIONAL MANAGER 04-01-2010 NA N 000831535 DAVID WILLIAM HANSON DIRECTOR/REGIONAL MANAGER 08-01-2013 NA N 000715793 CHRISTOPHER M KELLER DIRECTOR/CHIEF INFORMATION OFFICER 04-01-2010 NA Y 004346617 THOMAS HAYDEN MARTIN JR DIRECTOR/CHIEF FINANCIAL OFFICER 09-01-2009 NA Y 001459719 JOSEPH EDWARD PETTY DIRECTOR/REGIONAL MANAGER 10-01-2012 NA N 001283892 LOIS MARIE MOORE POWELL DIRECTOR/DIRECTOR OF TEXAS MARKETS 11-01-2013 NA N 001392690 DOUGLAS DAVID RUBENSTEIN DIRECTOR/DIRECTOR OF CAPITAL MARKETS & BUSINESS STRATEGY 06-01-2012 NA Y 001138380 ALBERT JOSEPH TYLKA JR DIRECTOR/DIRECTOR OF OPERATIONS 07-01-2010 NA Y 001432997 JOANNE MARIE WELKER DIRECTOR/MANAGER ADVISORY SERVICES 11-01-2013 NA N 002300075 Billy Joe Wisdom Cheif Complaince Officer 01-01-2015 NA N 001810908 Add BENJAMIN EDWARDS, INC. N 26-3472087 OWNER 10-01-2008 E Y Amend MARTIN WADE ALTENBERGER DIRECTOR/DIRECTOR OF BRANCH SERVICES 05-01-2010 NA Y 001230104 Amend CYNTHIA LYN BOHME DIRECTOR/CORPORATE SECRETARY/DIRECTOR OF STAFF DIVISION 08-17-2015 NA Y 001079852 Delete ROGER ALLEN BULLER DIRECTOR/REGIONAL MANAGER 11-01-2010 NA N 1547996 Add EDGAR ALLEN COLE II DIRECTOR/CHEIF COMPLIANCE OFFICER & COUNSEL 11-01-2008 NA Y 002362072 Delete BLAKE ROBERT DUNLOP DIRECTOR/REGIONAL MANAGER 01-01-2012 NA N 1276883 Delete SANDRA LYNN DYE DIRECTOR/ASSISTANT DIRECTOR OF OPERATIONS 11-01-2013 NA N 1837762 Add BENJAMIN FRANKLIN EDWARDS IV CHAIRMAN/CHIEF EXECUTIVE OFFICER, PRESIDENT 08-01-2008 NA Y 001061490 Add MARK PATTERSON FELLOWS DIRECTOR/REGIONAL MANAGER 11-01-2013 NA N 001600661 Delete JOHN WILLIAM FORRESTER DIRECTOR/REGIONAL MANAGER 04-01-2010 NA N 000831535 Amend DAVID WILLIAM HANSON DIRECTOR 08-01-2013 NA N 000715793 Amend CHRISTOPHER M KELLER DIRECTOR/DIRECTOR OF OPERATIONS, TECHNOLOGY & ANALYTICS 04-01-2010 NA Y 004346617 Add THOMAS HAYDEN MARTIN JR DIRECTOR/CHIEF FINANCIAL OFFICER 09-01-2009 NA Y 001459719 Delete JOSEPH EDWARD PETTY DIRECTOR/REGIONAL MANAGER 10-01-2012 NA N 001283892 Amend LOIS MARIE MOORE POWELL DIRECTOR/REGIONAL MANAGER 11-01-2013 NA N 001392690 Amend DOUGLAS DAVID RUBENSTEIN DIRECTOR/COO AND DIRECTOR OF CAPITAL MARKETS 06-01-2012 NA Y 001138380 Delete ALBERT JOSEPH TYLKA JR DIRECTOR/DIRECTOR OF OPERATIONS 07-01-2010 NA Y 001432997 Add JOANNE MARIE WELKER DIRECTOR/MANAGER ADVISORY SERVICES 11-01-2013 NA N 002300075 Add Billy Joe Wisdom Cheif Complaince Officer 01-01-2015 NA N 001810908 NewAdd Neal James Baumann DIRECTOR/REGIONAL MANAGER 02-13-2019 NA N 001480636 NewAdd Roland Harold De Liniere DIRECTOR/REGIONAL MANAGER 02-13-2019 NA N 001038322 NewAdd Malissa E Romack DIRECTOR/REGIONAL MANAGER 02-13-2019 NA N 002367758 NewAdd Todd Henrich Brandstadt DIRECTOR/REGIONAL MANAGER 02-13-2019 NA N 002631699 NewAdd Christopher Mark Whiting DIRECTOR OF SALES & MARKETING 09-24-2018 NA N 002242513 1 9-A2 Dana Lianne Gibbs N 002260208 Dana Gibbs 002260208 1521144 3 9-E1 9-E2 9-E4 MARCY B PINNELL N 004264944 MARCY B PINNELL 004264944 1709931 DAVID FEDERICK MORENO N 001566982 DAVID FEDERICK MORENO 001566982 133976 YARAVI ANTHONY LINDO N 002933091 YARAVI ANTHONY LINDO 002933091 1134913 1 9-D4 MARY ANN MCLAUGHLIN N 000708820 MARY ANN MCLAUGHLIN 000708820 49269 1 9-D1 9-D2 9-D4 Marcy B Pinnell N 004264944 Marcy B. Pinnell 004264944 1753292 1 9-D4 9-D5 Marcy B Pinnell N 004264944 Marcy Pinnell 004264944 1860143 9-C1 9-C2 9-C4 9-C5 Benjamin F. Edwards & Co., Inc. 000146936 2020082 Craig Harrison Craig Harrison Manager, Registration 03-31-2020 4769204 N N Y N N Y Y N N Y Y N Y N Y N N N N N N