EVP, Director of Business Services

0001451623-20-000001.txt : 20200206 0001451623-20-000001.hdr.sgml : 20200206 20200206154440 ACCESSION NUMBER: 0001451623-20-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200206 DATE AS OF CHANGE: 20200206 EFFECTIVENESS DATE: 20200206 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BENJAMIN EDWARDS INC CENTRAL INDEX KEY: 0001451623 IRS NUMBER: 263472087 STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19533 FILM NUMBER: 20582544 BUSINESS ADDRESS: STREET 1: ONE NORTH BRENTWOOD BOULEVARD STREET 2: SUITE 850 CITY: Clayton STATE: MO ZIP: 63105 BUSINESS PHONE: 314-726-1600 MAIL ADDRESS: STREET 1: ONE NORTH BRENTWOOD BOULEVARD STREET 2: SUITE 850 CITY: Clayton STATE: MO ZIP: 63105 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001451623 XXXXXXXX 12-31-2019 12-31-2019 BENJAMIN EDWARDS INC

ONE NORTH BRENTWOOD BOULEVARD SUITE 850 Clayton MO 63105

13F COMBINATION REPORT 028-19533 0001445065 028-15560 BENJAMIN F. EDWARDS & COMPANY, INC. N Christopher M Keller EVP, Director of Business Services 314-726-1600 Christopher M Keller St. Louis MO 02-06-2020 0 276 49020 false INFORMATION TABLE 2 EWM_13FXMLOutput_2019-12-31.xml AUTOMATIC DATA PROCESSING IN COM 053015103 185 1086 SH DFND 0 0 1086 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 126 555 SH DFND 0 0 555 BLACKSTONE GROUP INC COM CL A 09260D107 364 6505 SH DFND 0 0 6505 CDK GLOBAL INC COM 12508E101 5 86 SH DFND 0 0 86 CASEYS GEN STORES INC COM 147528103 157 985 SH DFND 0 0 985 CONOCOPHILLIPS COM 20825C104 20 300 SH DFND 0 0 300 DBX ETF TR XTRACK HRVST CSI 233051879 6 197 SH DFND 0 0 197 GALLAGHER ARTHUR J & CO COM 363576109 164 1719 SH DFND 0 0 1719 INVESCO DYNAMIC CR OPP FD COM 46132R104 928 81770 SH DFND 0 0 81770 LOWES COS INC COM 548661107 25 207 SH DFND 0 0 207 MERCADOLIBRE INC COM 58733R102 10 17 SH DFND 0 0 17 OAKTREE SPECIALTY LENDING CO COM 67401P108 347 63528 SH DFND 0 0 63528 PEOPLES UTD FINL INC COM 712704105 13 792 SH DFND 0 0 792 STORE CAP CORP COM 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DFND 0 0 545 ISHARES TR IBOXX INV CP ETF 464287242 7 58 SH DFND 0 0 58 ISHARES TR S&P 500 VAL ETF 464287408 1210 9302 SH DFND 0 0 9302 ISHARES TR S&P MC 400GR ETF 464287606 421 1767 SH DFND 0 0 1767 ISHARES TR IBONDS DEC20 ETF 46434VAQ3 69 2722 SH DFND 0 0 2722 ISHARES TR IBONDS DEC22 ETF 46434VBA7 70 2779 SH DFND 0 0 2779 NASDAQ INC COM 631103108 107 1003 SH DFND 0 0 1003 PROGRESSIVE CORP OHIO COM 743315103 12 172 SH DFND 0 0 172 ROKU INC COM CL A 77543R102 17 124 SH DFND 0 0 124 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 29 491 SH DFND 0 0 491 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 25 435 SH DFND 0 0 435 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 3 114 SH DFND 0 0 114 SNAP ON INC COM 833034101 148 875 SH DFND 0 0 875 STARBUCKS CORP COM 855244109 38 433 SH DFND 0 0 433 STRYKER CORP COM 863667101 129 615 SH DFND 0 0 615 SYNTHESIS ENERGY SYS INC COM 871628301 1 100 SH DFND 0 0 100 TERADYNE INC COM 880770102 12 173 SH DFND 0 0 173 3M CO COM 88579Y101 36 205 SH DFND 0 0 205 VANECK 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SH DFND 0 0 1372 2U INC COM 90214J101 21 867 SH DFND 0 0 867 US BANCORP DEL COM NEW 902973304 15 246 SH DFND 0 0 246 UNITED TECHNOLOGIES CORP COM 913017109 114 763 SH DFND 0 0 763 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 358 3859 SH DFND 0 0 3859 VANGUARD INDEX FDS SML CP GRW ETF 922908595 16 81 SH DFND 0 0 81 ABBVIE INC COM 00287Y109 48 544 SH DFND 0 0 544 AMERICAN TOWER CORP NEW COM 03027X100 136 590 SH DFND 0 0 590 AXON ENTERPRISE INC COM 05464C101 11 150 SH DFND 0 0 150 CELLECTIS S A SPONSORED ADS 15117K103 8 453 SH DFND 0 0 453 COSTCO WHSL CORP NEW COM 22160K105 114 389 SH DFND 0 0 389 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 25 1930 SH DFND 0 0 1930 EXXON MOBIL CORP COM 30231G102 163 2343 SH DFND 0 0 2343 FIRST TR EXCHANGE TRADED FD NY ARCA BIOTECH 33733E203 88 595 SH DFND 0 0 595 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 2236 111420 SH DFND 0 0 111420 FORD MTR CO DEL COM 345370860 5 500 SH DFND 0 0 500 ISHARES TR 3 7 YR TREAS BD 464288661 42 331 SH DFND 0 0 331 ISHARES TR IBONDS DEC21 ETF 46434VBK5 84 3355 SH DFND 0 0 3355 ISHARES TR CUR HED MSCI GER 46434V704 6 194 SH DFND 0 0 194 L3HARRIS TECHNOLOGIES INC COM 502431109 451 2277 SH DFND 0 0 2277 LANCASTER COLONY CORP COM 513847103 11 67 SH DFND 0 0 67 NUVEEN MORTGAGE AND INCOME F COM 670735109 585 26634 SH DFND 0 0 26634 REPUBLIC SVCS INC COM 760759100 838 9354 SH DFND 0 0 9354 SPDR S&P 500 ETF TR TR UNIT 78462F103 11 35 SH DFND 0 0 35 SALESFORCE COM INC COM 79466L302 21 130 SH DFND 0 0 130 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 5 85 SH DFND 0 0 85 SPIRE INC COM 84857L101 88 1061 SH DFND 0 0 1061 TELADOC HEALTH INC COM 87918A105 12 148 SH DFND 0 0 148 THE TRADE DESK INC COM CL A 88339J105 15 58 SH DFND 0 0 58 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 16 102 SH DFND 0 0 102 VANGUARD INDEX FDS SM CP VAL ETF 922908611 15 113 SH DFND 0 0 113 VANGUARD INDEX FDS GROWTH ETF 922908736 64 350 SH DFND 0 0 350 MEDTRONIC PLC SHS G5960L103 16 144 SH DFND 0 0 144 AMERICOLD RLTY TR COM 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KONTOOR BRANDS INC COM 50050N103 15 360 SH DFND 0 0 360 LULULEMON ATHLETICA INC COM 550021109 8 35 SH DFND 0 0 35 MERCK & CO INC COM 58933Y105 181 1987 SH DFND 0 0 1987 MONDELEZ INTL INC CL A 609207105 9 160 SH DFND 0 0 160 PARKER HANNIFIN CORP COM 701094104 3 13 SH DFND 0 0 13 PROTO LABS INC COM 743713109 19 184 SH DFND 0 0 184 REALTY INCOME CORP COM 756109104 189 2570 SH DFND 0 0 2570 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 2 43 SH DFND 0 0 43 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 197 2150 SH DFND 0 0 2150 SERES THERAPEUTICS INC COM 81750R102 4 1281 SH DFND 0 0 1281 TESLA INC COM 88160R101 72 172 SH DFND 0 0 172 V F CORP COM 918204108 176 1761 SH DFND 0 0 1761 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 8 100 SH DFND 0 0 100 WALGREENS BOOTS ALLIANCE INC COM 931427108 85 1443 SH DFND 0 0 1443 XILINX INC COM 983919101 112 1144 SH DFND 0 0 1144