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Douglas Rubenstein

Director/Senior Advisor to the Chairman at Benjamin F. Edwards & Company

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
8
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Douglas Rubenstein is Director/Senior Advisor to the Chairman of Benjamin F. Edwards & Company, Incorporated, a ST. Louis investment adviser managing $18.9B. Douglas Rubenstein has a current broker registration and no current investment-adviser registration and has passed 8 licensing exams.

Role at Benjamin F. Edwards & Company

Title on Schedule A
Director/Senior Advisor to the Chairman
Control
Douglas Rubenstein is a control person of Benjamin F. Edwards & Company.
Ownership
An individual ownership band is not available in the source record.
Tenure
Douglas Rubenstein has held the filed role since January 2026.

The firm

Benjamin F. Edwards & Company, Incorporated
ST. Louis, MO

Form ADV filed 21 September 2026

$18.9B AUM33,057 clients450 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO, Series 79TO and Series 57TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 55 · 2016
  4. Passed Series 24 · 2012
  5. Passed Series 7 and Series 63 · 1985

Registrations and exams

Broker registration; no current adviser registration. Douglas Rubenstein has passed 8 qualifying exams.

Examinations

Series 635 November 1985
Name
Uniform Securities Agent State Law Examination
Series 2424 January 2012
Name
General Securities Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
Series 79TO2 January 2023
Name
Investment Banking Registered Representative Examination
Series 57TO2 January 2023
Name
Securities Trader Exam
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 5526 April 2016
Name
Limited Representative-Equity Trader Exam
Series 719 October 1985
Name
General Securities Representative Examination

Individual record

Full name
Douglas David Rubenstein
CRD
1138380
Firm
Benjamin F. Edwards & Company, Incorporated
Registration status
Broker registration; no current adviser registration
Firm bio
benjaminfedwards.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Benjamin F. Edwards identifies Doug Rubenstein as executive vice president and senior advisor to the chairman. The profile describes his former COO role and service on the firm’s executive committee and board. Filed Douglas David Rubenstein and director/senior-advisor role align. Official firm biography page

Common questions

Where does Douglas Rubenstein work?

Douglas Rubenstein has been Director/Senior Advisor to the Chairman of Benjamin F. Edwards & Company, Incorporated since January 2026, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 21 September 2026

Does Douglas Rubenstein have a current investment-adviser registration?

Douglas Rubenstein has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Douglas Rubenstein passed?

Douglas Rubenstein has passed 8 licensing exams: the Series 7, Series 63, Series 24, Series 55, SIE, Series 99TO, Series 79TO and Series 57TO. The earliest, the Series 7, was passed in October 1985.

Source: IAPD individual record, checked 17 October 2026

Leadership at Benjamin F. Edwards & Company

Sources

  1. IAPD individual record, CRD 1138380. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Benjamin F. Edwards & Company, Incorporated, filed 21 September 2026. Title, control and ownership bands.
  3. Benjamin F. Edwards & Company team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Douglas Rubenstein or Benjamin F. Edwards & Company, Incorporated and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.