DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

JAMES RORK WILLIAMS

Advisor at BENJAMIN F. EDWARDS & COMPANY, INCORPORATED

Tucson, AZ | ST. LOUIS, MO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2bd7066a-b980-a6f9-7d71-9ec44d08aa63

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 19, 2001 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: Jan 23, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 6
Exams: S63
First exam: Jan 23, 1986
First registration: Sep 19, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 1439342

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	Jul 8, 2020	n/a	yes	Tucson, AZ\|ST. LOUIS, MO\|ST. LOUIS, MO	Current employment
ROBERT W. BAIRD & CO. INCORPORATED	Mixed wealth	Oct 18, 2019	Jul 31, 2020	no	Cincinnati - Downtown, OH	Previous registration
J.J.B. HILLIARD, W.L. LYONS, LLC	Former SEC adviser	Mar 16, 2012	Oct 18, 2019	no	CINCINNATI, OH	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Dec 6, 2010	Mar 19, 2012	no	Carrollton, KY\|VERONA, KY\|Shelbyville, KY\|Falmouth, KY\|WALTON, KY\|Morehead, KY\|Augusta, KY\|Maysville, KY\|Flemingsburg, KY\|Maysville, KY\|MOREHEAD, KY	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	Dec 6, 2010	no	FORT MITCHELL, KY\|CINCINNATI, OH	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Sep 19, 2001	Jan 1, 2008	no	BLUE ASH, OH\|ST. LOUIS, MO\|CINCINNATI, 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
ROBERT W. BAIRD & CO. INCORPORATED	BENJAMIN F. EDWARDS & COMPANY, INCORPORATED	Jul 31, 2020	Jul 8, 2020	-23	Firm change	RIA to ibd
J.J.B. HILLIARD, W.L. LYONS, LLC	ROBERT W. BAIRD & CO. INCORPORATED	Oct 18, 2019	Oct 18, 2019	0	Bulk transfer	RIA to RIA
U.S. BANCORP INVESTMENTS, INC.	J.J.B. HILLIARD, W.L. LYONS, LLC	Mar 19, 2012	Mar 16, 2012	-3	Firm change	Other
WELLS FARGO ADVISORS	U.S. BANCORP INVESTMENTS, INC.	Dec 6, 2010	Dec 6, 2010	0	Firm change	Other
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	Bulk transfer	Other

Relationships

Registered with (6)

→ BENJAMIN F. EDWARDS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Jul 8, 2020 to presentfactForm ADV
→ ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviserregistration: previous registration
Oct 18, 2019 to Jul 31, 2020factForm ADV
→ J.J.B. HILLIARD, W.L. LYONS, LLCRegistered adviserregistration: previous registration
Mar 16, 2012 to Oct 18, 2019factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Dec 6, 2010 to Mar 19, 2012factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 1, 2008 to Dec 6, 2010factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Sep 19, 2001 to Jan 1, 2008factForm ADV

Dated events

No dated event names this entity yet.