Role at Benjamin F. Edwards & Company
- Title on Schedule A
- Chief Compliance Officer, Brokerage
- Control
- Katelyn Stevens is a control person of Benjamin F. Edwards & Company.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Katelyn Stevens has held the filed role since January 2021.
The firm
Form ADV filed 21 September 2026
Career on record
Katelyn Stevens has been registered through Benjamin F. Edwards & Company since November 2015, and before that through Edward Jones.
- Passed Series 14 · 2023
- Passed SIE · 2018
- – present · 11 years, · Adviser representative · Firm CRD 146936
- Passed Series 10 · 2013
- Passed Series 24 and Series 9 · 2011
- Edward Jones– · 5 yearsSt Louis, MO · Adviser representative · Firm CRD 250
- Passed Series 7 and Series 66 · 2010
Registrations and exams
Katelyn Stevens has a current investment-adviser registration in Missouri and has passed 7 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Missouri | Investment adviser representative | Approved | 3 November 2015 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 23 December 2010 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 30 January 2013 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 29 April 2011 |
| Series 24 | General Securities Principal Examination | 2 March 2011 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 17 November 2010 |
- Name
- Uniform Combined State Law Examination
- Name
- Compliance Officer Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Katelyn Clare Stevens
- CRD
- 5752247
- Registration status
- Investment adviser and broker registrations
- 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 Katelyn Stevens as chief compliance officer for Brokerage. Official firm biography
Credentials and memberships
- FINRA Series 7, 9/10, 24 and 66 registrationsOfficial firm biography
Common questions
Where does Katelyn Stevens work?
Katelyn Stevens has been Chief Compliance Officer, Brokerage of Benjamin F. Edwards & Company, Incorporated since January 2021, and is a control person of the firm.
Is Katelyn Stevens a financial advisor?
Yes. Katelyn Stevens has a current investment-adviser registration in Missouri, through Benjamin F. Edwards & Company since November 2015, as of 18 October 2026.
How many years of experience does Katelyn Stevens have?
Katelyn Stevens has worked in the financial industry for 15 years as of 18 October 2026, counted from 23 November 2010, across 2 adviser firms.
What exams has Katelyn Stevens passed?
Katelyn Stevens has passed 7 licensing exams: the Series 7, Series 66, Series 24, Series 9, Series 10, SIE and Series 14. The earliest, the Series 7, was passed in November 2010.
Where did Katelyn Stevens work before Benjamin F. Edwards & Company?
Before Benjamin F. Edwards & Company, Katelyn Stevens was registered through Edward Jones, January 2011 to October 2015.
Leadership at Benjamin F. Edwards & Company
- Benjamin Franklin IV EdwardsChairman/Chief Executive Officer, President
- Thomas Hayden JR MartinDirector/Chief Financial Officer
- Matthew Paul MucklerChief Compliance Officer, Advisory
- Todd Heinrich BrandstadtDirector/Director of Branches
- Benjamin Franklin EdwardsDirector/Assistant Director of Branches
- Brooke Danielle EgglestonDirector/Chief Human Resource Officer
- Christopher M KellerDirector/Director of Business Services
- Douglas David RubensteinDirector/Senior Advisor to the Chairman
- Gwendolyn TaylorDirector/Chief Legal Counsel
- Christopher Mark WhitingDirector of Financial Strategies Group
- Billy Joe WisdomDirector/Director of Regulatory & Oversight Services