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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

JAMES DAVID STEIN

Advisor at BENJAMIN F. EDWARDS & COMPANY, INCORPORATED

ST. LOUIS, MO | CANTON, OH | Brecksville, OH

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Search this name across graphsid dfx:ria:051903a3-85a3-5ad9-22e1-c76e22e21d7d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 4, 2003 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: BENJAMIN F. EDWARDS & COMPANY, INCORPORATED
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 18, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Apr 18, 1984
First registration: Mar 4, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 1254433

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED	Bd affiliated wealth	Apr 30, 2014	n/a	yes	ST. LOUIS, MO\|CANTON, OH\|ST. LOUIS, MO\|Brecksville, OH	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	May 1, 2014	no	WESTLAKE, OH	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Aug 15, 2005	Jan 1, 2008	no	WESTLAKE, OH\|WESTLAKE, OH\|ST. LOUIS, MO	Previous registration
MORGAN STANLEY DW INC.	n/a	Mar 4, 2003	Aug 29, 2005	no	WESTLAKE, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	BENJAMIN F. EDWARDS & COMPANY, INCORPORATED	May 1, 2014	Apr 30, 2014	-1	Firm change	Other
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	A. G. EDWARDS & SONS, INC.	Aug 29, 2005	Aug 15, 2005	-14	Firm change	Other

Relationships

Registered with (4)

→ BENJAMIN F. EDWARDS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Apr 30, 2014 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 1, 2008 to May 1, 2014factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Aug 15, 2005 to Jan 1, 2008factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Mar 4, 2003 to Aug 29, 2005factForm ADV

Dated events

No dated event names this entity yet.