Sarasota, FL Office
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Benjamin F. Edwards & Company, Inc.
Enterprise
Firm-wide stats for Benjamin F. Edwards & Company, Inc.
About
Benjamin F. Edwards & Company is an SEC‑registered investment adviser and broker‑dealer that serves a broad client base—individuals (including high‑net‑worth clients), pension and profit‑sharing plans, charitable organizations, corporations and other institutions—through fee‑based wrap programs, financial planning, retirement plan consulting, investment management consulting and plan‑participant services. The firm’s scale includes several hundred advisors and tens of billions in assets under management, and it supports both employee and affiliated independent‑contractor advisors.
BFE delivers advice through consolidated discretionary and non‑discretionary wrap programs that use strategies managed by BFE, its financial advisors, and third‑party managers; offerings include mutual‑fund and ETF model strategies, active and passive ETF portfolios, equity and fixed‑income portfolios, separately managed accounts, a UMA overlayed by BNY Mellon Advisors, tax transition strategies, and private/ custom portfolios. Models and portfolios are monitored and rebalanced on a periodic basis and reviewed by an Investment Strategy Committee, and the firm discloses the use of both strategic multi‑year allocations and more tactical adjustments where appropriate.
Operationally the firm combines custody and execution features that are less common among peers: Pershing is disclosed as the primary qualified custodian for wrap accounts, yet BFE’s wrap‑fee services explicitly include custody and clearance of securities, the firm handles certain assets held with issuers or alternative custodians (with separate invoicing where required), and it operates an internal equity and fixed‑income trading desk. BFE also functions as a broker‑dealer, an insurance agency, and provides occasional M&A advice; its brochure discloses recent regulatory matters (FINRA and SEC findings) and subsequent remedial steps, signaling an emphasis on enhanced supervisory and operational controls following those events.
Based on Benjamin F. Edwards & Company, Inc.
Location
101 S. Palm Ave.
Sarasota FL 34236
Advisors at this office
3
Advisors at this office
Robert K
Series 63
Sarasota, FL
Benjamin F. Edwards & Company, Inc.
Robert Kahne is a financial advisor at Benjamin F. Edwards & Company, Inc. with 41 years of industry experience. He holds a Series 63 designation and has been with Benjamin F. Edwards since 2015. Outside of his advisory role, he serves as a trustee for a family trust. Benjamin F. Edwards & Company is an SEC-registered investment adviser and broker-dealer serving a diverse client base that includes individuals, pension plans, charitable organizations, corporations, and institutions. The firm offers a variety of fee-based wrap programs and investment strategies, supported by an internal trading desk and oversight from an Investment Strategy Committee.
Anthony S
Series 63, Series 65
Sarasota, FL
Benjamin F. Edwards & Company, Inc.
Anthony Swart is a financial advisor with Benjamin F. Edwards & Company, Inc. in Sarasota, FL. He holds Series 63 and Series 65 designations and has 31 years of industry experience. Prior to joining Benjamin F. Edwards in 2018, he worked at SunTrust Advisory Services and Suntrust Securities, Inc. from 2004 to 2018. Benjamin F. Edwards & Company is an SEC-registered investment adviser and broker-dealer serving individuals, pension plans, charitable organizations, corporations, and institutions. The firm offers a variety of fee-based wrap programs, financial planning, and investment management services, utilizing both discretionary and non-discretionary strategies monitored by an Investment Strategy Committee.
Patricia M
Series 66
Sarasota, FL
Benjamin F. Edwards & Company, Inc.
Patricia Maxwell is a financial advisor at Benjamin F. Edwards & Company, Inc. with 19 years of industry experience. She holds a Series 66 designation and has been with Benjamin F. Edwards since 2015. Outside of her advisory role, she serves as a successor trustee for the F.L. Maxwell Jr Rev Trust. Benjamin F. Edwards & Company is an SEC-registered investment adviser and broker-dealer serving a diverse client base, including individuals, pension plans, charitable organizations, and corporations. The firm offers a range of fee-based wrap programs and investment strategies managed by both in-house and third-party managers, supported by an Investment Strategy Committee and internal trading capabilities.
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