X-17A-5: Submission Information

Report for the Period Beginning

01-01-2020

and Ending

12-31-2020

Type of Registrant

Broker-dealer

Security-based swap dealer

Major security-based swap participant

Material Weakness

Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses?

Yes

X-17A-5: A. Registrant Identification

Name of Firm

BENJAMIN F. EDWARDS & COMPANY, INC.

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1

ONE NORTH BRENTWOOD BLVD, SUITE 850

City

ST. LOUIS

State/Country

MISSOURI

Mailing Zip/ Portal Code

63105

Name and Telephone Number of Person to Contact in Regard to this Report

Name

Thomas H. Martin

Telephone Number

314-480-1120

X-17A-5: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name

Deloitte & Touche

Address 1

100 South 4th Street

Address 2

Suite 300

City

St. Louis

State/Country

MISSOURI

Mailing Zip/ Postal Code

63102

Check One

Certified Public Accountant
Radio button not checked

Certified Public Accountant not resident in United States or any of its possessions

X-17A-5: Signature

Oath or Affirmation

I, Thomas H. Martin, Jr., swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of BENJAMIN F. EDWARDS & COMPANY, INC., as of 12-31-2020, is true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:

Signature

Thomas H. Martin, Jr.

Title

EVP-CFO

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.

X-17A-5: Filer Information

Submission Contact Information