Jim Masterson

Mr. Masterson joined Benjamin F.
Edwards & Co. after a 25 year career at A.G.
Edwards, where he started in the Mutual Fund Liquidation area in 1985 and held several positions within the firm’s Operations Division.
In 1995, Mr. Masterson moved to the firm’s Compliance Department as a sales practice associate where he conducted onsite inspections of branch offices to satisfy supervisory and regulatory requirements.
After seven years in Compliance, he moved to the company’s Law Department as a client service representative, where he addressed client concerns.
In this capacity, he was required to work with various company personnel and customers to gather information and negotiate equitable resolutions.
The position required strong industry knowledge and diplomacy.
In 2003, Mr. Masterson was part of the original Branch Division Manager Review team and assisted the regional managers with their supervisory responsibilities of producing branch managers.
After Wachovia Securities acquired A.G.
Edwards (now Wells Fargo Advisors), he was named a First Vice President and Associate Manager of the Regional Supervision Unit.
He managed five of the firm’s 10 regional supervisors.
In this position, he oversaw sales activities and ensured the firm was able to document evidence of supervision when a branch manager was acting in the capacity of a producing financial consultant.
Mr. Masterson is a graduate of the University of Missouri – St. Louis with a bachelor’s degree in Business Administration.
He currently holds the Series 7, 8, 24, 63, 65 and insurance licenses.