Peter McCarthy

Senior Vice President and Manager, Regulatory Initiatives
Home Office | Product and Service Leadership

Peter is the Senior Vice-President, Manager of the firm’s Regulatory Initiatives efforts. In this role, he is responsible for monitoring activities by federal, state, and local lawmakers and regulators that impact the firm. Additionally, Peter assists affected areas of the firm in change-management to ensure the firm remains compliant with its evolving regulatory obligations. He also participates in industry groups and roundtables, consulting with industry peers on pending statutes and regulations and providing input to guide those initiatives.

He joined Benjamin F. Edwards in 2010 and led the development of the firm’s surveillance system. He began his career at A.G. Edwards, serving 15 years in several roles in the fixed income, information technology, and capital markets areas. The breadth of his experience enables Peter work with all areas of the firm to address regulatory requirements. He holds Series 4, 7, 24, 53, 66, 79, and 99 licenses.

Peter received an MBA from Washington University in St. Louis and a BA from the University of Missouri – St. Louis. Outside of work, he enjoys spending time with his wife, three children, and two labrador retrievers. He is also an avid reader and loves working in the yard.

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