E. Allen Cole

Mr. E.
A.
Cole is Chief Compliance Officer & Senior Vice President at Benjamin F.
Edwards & Co., Inc. He brings to Benjamin F.
Edwards & Co. more than 16 years of securities industry experience in compliance and regulatory matters.
His previous work exeperience include, he joined A.G.
Edwards in 1993 as compliance counsel.
In 1994, he became responsible for providing regulatory and compliance advice to the fixed-income business areas of the firm.
In 1998, he assumed responsibility for the capital markets compliance activities of the firm’s investment banking, research and syndicate areas.
After A.G.
Edwards was acquired by Wachovia Securities in 2007, Mr. Cole was named director of products and advisory services compliance and chief compliance officer for the combined firm’s investment advisory business.
In 2008, he left to join Benjamin F.
Edwards & Co. as chief compliance officer and counsel to manage the legal, compliance and regulatory activities of the firm.
Throughout his career, Mr. Cole served on several committees and working groups sponsored by the NASD (National Association of Securities Dealers, now “FINRA,” the Financial Industry Regulatory Authority), the MSRB (Municipal Securities Rulemaking Board) and the NYSE (New York Stock Exchange).
He has also been active in a number of securities industry trade association working groups and committees.
Prior to joining A.G.
Edwards, Mr. Cole worked at McDonnell Douglas Corporation supervising a team responsible for negotiating and administering U.S.
government research and development contracts and subcontracts.
Previously, he served as an officer in the U.S.
Army.
Mr. Cole is a graduate of the Washington University School of Law in 1993, he lso received a Bachelor of Arts degree in Business Administration from Ouachita Baptist University in 1982.