KG
Karen L. Glassman
NEW EDGE WEALTH
DARIEN, CT 06820
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CRD#: 1075657
KG
Professional summary
Karen Lynn Glassman is a registered financial advisor currently at NEW EDGE WEALTH located in Darien, Connecticut and NEWEDGE SECURITIES, LLC located in Stamford, Connecticut.
Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Karen has worked at 11 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 79, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)CALISTA CAPITAL, LLC~NON-INVESTMENT RELATED~NEW YORK, NY 10021~CONSULTING~MANAGING MEMBER~SEPT 2006~10HRS PER MONTH~10HRS PER MONTH DURING MARKET~I CREATED AN LLC 15 YEARS AGO AS AN OUTSIDE CONSULTANT 2)CALISTA CAPITAL WAS FORMED BY KAREN GLASSMAN TO PROVIDE CONSULTING SERVICES NOT RELATED TO THE SALE, PURCHASE, OR TRANSFER OF SECURITIES OR ANY OTHER SERVICES THAT WOULD CUSTOMARILY BE PROVIDED BY A BROKER-DEALER. 3)NewEdge Wealth, LLC, an IAR.�Financial Advisor for investment related business for ultra-high net worth individuals. 120 hours a month during trading hours.� Home office 2200 Atlantic Street, Stamford CT, 06902.�Start Date: 11/30/2021
CRS (Client Relationship Summary) - RIA
Click below to view Karen Lynn Glassman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 30, 2021 - Present
NEW EDGE WEALTH
Office #1: 19 Old Kings Highway South, Darien, CT 06820RIA
CRD#: 307771
DARIEN, CT
Current
October 22, 2021 - Present
NEWEDGE SECURITIES, LLC
Office #1: 2200 Atlantic Street 2nd Fl South, Stamford, CT 06902BD
CRD#: 10674
Stamford, CT
Past
July 26, 2019 - October 28, 2021
INDEPENDENT BROKERAGE SOLUTIONS LLC
BD
CRD#: 153563
NEW YORK, NY
Past
May 19, 2014 - August 16, 2017
ROSE & CO. CAPITAL ADVISORS, LLC
BD
CRD#: 168274
NEW YORK, NY
Past
October 13, 2008 - November 1, 2013
ROSS SECURITIES CORPORATION
BD
CRD#: 113796
NEW YORK, NY
Past
August 12, 2003 - November 17, 2006
W. P. STEWART SECURITIES LLC
BD
CRD#: 40964
NEW YORK, NY
Past
February 10, 1995 - April 4, 2003
PAPAMARKOU WELLNER & CO., INC.
BD
CRD#: 10963
NEW YORK, NY
Past
July 28, 1994 - December 2, 1994
LYNCH, JONES & RYAN LLC
BD
CRD#: 3198
NEW YORK, NY
Past
May 17, 1994 - December 1, 1994
THE TRANSPORTATION GROUP (SECURITIES) LIMITED
BD
CRD#: 24329
NEW YORK, NY
Past
October 27, 1992 - April 29, 1994
PAPAMARKOU WELLNER & CO., INC.
BD
CRD#: 10963
NEW YORK, NY
Past
March 5, 1986 - October 28, 1992
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
April 20, 1983 - April 19, 1984
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NE
NEW EDGE WEALTH
NEW EDGE WEALTH | NEWEDGE WEALTH, LLC | NEWEDGE INVESTMENT SOLUTIONS | NEW EDGE WEALTH LLC
CRD#: 307771 / SEC#: 801-118291
RIA
Registered Investment Advisory firm - (3/25/2020 Approved)Maryland
Registered Investment Advisory firm - (2/28/2020 Terminated)North Carolina
Registered Investment Advisory firm - (2/25/2020 Terminated)South Dakota
Registered Investment Advisory firm - (2/24/2020 Terminated)Wisconsin
Registered Investment Advisory firm - (2/24/2020 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/3/2023)
RR
California(11/30/2021)
RR
Connecticut(11/30/2021)
IAR
Connecticut(11/30/2021)
RR
Delaware(1/3/2023)
RR
Florida(10/22/2021)
IAR
Florida(1/30/2024)
RR
Georgia(1/3/2023)
RR
New Jersey(1/3/2023)
RR
New York(10/22/2021)
IAR
New York(1/5/2023)
IAR
Texas(1/3/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/25/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NE
NEW EDGE WEALTH
NEW EDGE WEALTH | NEWEDGE WEALTH, LLC | NEWEDGE INVESTMENT SOLUTIONS | NEW EDGE WEALTH LLC
CRD#: 307771 / SEC#: 801-118291
RIA
Registered Investment Advisory firm - (3/25/2020 Approved)Maryland
Registered Investment Advisory firm - (2/28/2020 Terminated)North Carolina
Registered Investment Advisory firm - (2/25/2020 Terminated)South Dakota
Registered Investment Advisory firm - (2/24/2020 Terminated)Wisconsin
Registered Investment Advisory firm - (2/24/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2200 Atlantic Street Suite 200, Stamford, CT 06902
Mailing Address
Phone number
(203) 424-2262
Established
Firm type
Fiscal year end
# of Employees
152
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,680 |
| AUM (Assets Under Management) | $ 12,064,984,416 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 12/22/2023 | ||
| 01/27/2023 | ||
| 07/28/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
