FORM MA-W
Notice of Withdrawal from Registration as a Municipal Advisor

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

OMB APPROVAL

OMB Number: 3235-0681

Estimated average burden hours per response:  0.5

Please refer to the General Instructions for forms in the MA series before completing this form. All italicized terms herein are defined or described in the Glossary of Terms appended to the General Instructions.

A municipal advisor must complete this Form MA-W to withdraw its municipal advisor registration with the SEC.

WARNING: Complete this form truthfully.  False statements or omissions may result in administrative or civil action or criminal prosecution. 

Filer Information

Contact Information


Craig Harrison
Name:

314-480-1146
Phone:

craig.harrison@benjaminfedwards.com
Email Address:

Notification Information

Notification will automatically be sent to the Login CIK, Submission Contact, and Primary Issuers. Specify additional addresses below.

Notification Email Address:
bill.wisdom@benjaminfedwards.com
marc.kessler@benjaminfedwards.com

Item 1 Identifying Information

A.
Full Legal Name: The name entered here must be the same as the name entered on the registrant's most recent Form MA. Do not report a name change on this Form MA-W.
BENJAMIN F. EDWARDS & COMPANY, INC.

B.
SEC File Number

Item 2 Contact Person (for Municipal Advisory Firms)

Harrison 
Craig 
Anthony 
Last Name:
First Name:
Middle Name:

Manager, Registration
Title

One North Brentwood Blvd., Suite 850 
 
Street Address 1:
Street Address 2:

Saint Louis 
MISSOURI  
63105 
City:
State/Country:
Postal Code:

314-480-1146 
craig.harrison@benjaminfedwards.com 
Telephone Number:
Email Address:

Item 3 Money Owed to Clients

Has the registrant:

A.
Received any pre-paid municipal advisory fees for municipal advisory activities, including pre-paid services and subscription fees for publications, that have not been delivered?
radio button unchecked Yes
radio button checked No
 
If "Yes," what is the amount owed for these pre-paid services (including subscriptions)?
$
B.
Borrowed any money from clients that has not been repaid?
radio button unchecked Yes
radio button checked No
 
If "Yes," what is the amount owed for these borrowed funds?
$

Item 4 Advisory Contract Assignments

Has the registrant assigned any contracts to another person that engages in municipal advisory activities?
radio button unchecked Yes
radio button checked No
If "Yes", list on Section 4 of Schedule W1 each person to whom the registrant has assigned any such municipal advisory contracts and provide the requested information.

Item 5 Judgments and Liens

Are there any unsatisfied judgments or liens against the registrant?
radio button unchecked Yes
radio button checked No

Item 6 Books and Records

NOTE: Rule 15Ba1-8 under the Exchange Act requires a municipal advisor to preserve its books and records after the municipal advisor ceases to conduct or discontinues business as a municipal advisor.

Provide in Schedule W1 the name and address of each person who has or will have custody or possession of the municipal advisor's books and records and each location at which any of such books and records are or will be kept.

Item 7 Statement of Financial Condition

If registrant answered "Yes" to Item 3A, Item 3B, or Item 5, complete Schedule W2, disclosing the nature and amount of the registrant's assets and liabilities and net worth as of the last day of the month prior to the filing of this Form MA-W.


Execution

For a Sole Proprietor:

I, the undersigned, certify, under penalty of perjury under the laws of the United States of America, that the information and statements made in this Form MA-W, including exhibits and any other information submitted, are true. I further certify that the books and records of my municipal advisor-related business will be preserved and available for inspection as required by law, and that all information submitted on my most recent Form MA and Form MA-I is accurate and complete as of this date. I understand that if any information contained in this Form MA-W is different from the information contained on my Form MA and Form MA-I, the information on this Form MA-W will replace the corresponding entry on my Form MA and Form MA-I. Finally, I authorize any person having custody or possession of these books and records to make them available to authorized regulatory representatives.

 
 
Signature:
Date:
 
 
Printed Name:
Title:

For a Municipal Advisory Firm:

I, the undersigned, have signed this Form MA-W on behalf of, and with the authority of, the municipal advisor withdrawing its registration.  The advisor and I both certify, under penalty of perjury under the laws of the United States of America, that the information and statements made in this Form MA-W, including exhibits and any other information submitted, are true.  I further certify that the municipal advisor’s books and records will be preserved and available for inspection as required by law, and that all information submitted on the municipal advisor ’s most recent Form MA is accurate and complete as of this date.  The municipal advisor and I understand that if any information contained in this Form MA-W is different from the information contained on Form MA, the information on this Form MA-W will replace the corresponding entry on the municipal advisor ’s Form MA.  Finally, I authorize any person having custodyor possession of these books and records to make them available to authorized regulatory representatives.

Craig Harrison 
07-21-2022 
Signature:
Date:

Craig Harrison 
Manager, Registration 
Printed Name:
Title:

FORM MA-W: Schedule W1

Certain items in Form MA-W may require additional information on this Schedule W1. Use this Schedule W1 to report details for items listed below. Report only new information or changes/updates to previously submitted information. Do not repeat previously submitted information.

SECTION 6 Books and Records

Complete the following information for each person that has or will have custody or possession of any of the registrant's books and records. A separate Schedule W1 must be completed for each person . If the same person has or will have custody of any such books and records at more than one location, a separate Schedule W1 must be completed for this person for each such location.

Person with Custody:

Albridge Solutions
Name:
1800 American Blvd 
Suite 300 
Street Address 1:
Street Address 2:

Pennington 
NEW JERSEY  
08534 
City:
State/Country:
Postal Code:

201-395-1456
Telephone Number:
Is this address a private residence?
Yes No

Location of Books and Records:

Albridge Solutions
Name of Location, if any:

1800 American Blvd 
Suite 300 
Street Address 1:
Street Address 2:

Pennington 
NEW JERSEY  
08534 
City:
State/Country:
Postal Code:

201-395-1456
Telephone Number:
Is this address a private residence?
Yes No
Briefly describe the books and records kept at this location.

Records kept include documents associated with an account opening and maintenance.

Complete the following information for each person that has or will have custody or possession of any of the registrant's books and records. A separate Schedule W1 must be completed for each person . If the same person has or will have custody of any such books and records at more than one location, a separate Schedule W1 must be completed for this person for each such location.

Person with Custody:

Iron Mountain
Name:
11741 Missouri Bottom Rd 
 
Street Address 1:
Street Address 2:

Hazelwood 
MISSOURI  
63042 
City:
State/Country:
Postal Code:

314-731-1174
Telephone Number:
Is this address a private residence?
Yes No

Location of Books and Records:

Iron Mountain
Name of Location, if any:

11741 Missouri Bottom Rd 
 
Street Address 1:
Street Address 2:

Hazelwood 
MISSOURI  
63042 
City:
State/Country:
Postal Code:

314-731-1174
Telephone Number:
Is this address a private residence?
Yes No
Briefly describe the books and records kept at this location.

Offsite storage of certain books and records.