AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
FS

Francine R. Salerno

NEWEDGE SECURITIES
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 1532597
FS

Professional summary

Francine Rose Salerno, who also goes by Francine R Salerno, Francine Rose Salerno, is a registered financial professional currently at NEWEDGE SECURITIES, LLC located in Stamford, Connecticut.

Francine is registered as a RR (Registered Representative) and started their career in finance in 1988. Francine has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Francine R Salerno | Francine Rose Salerno

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.
FRANCINE'S FLOUR / 306 EAST 90TH ST NEW YORK,NEW YORK 10128 / OWNER/ PRIVATELY HELD / 16 HRS/MONTH / START DATE 01/12/2011 /

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Francine Rose Salerno's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 2, 2022 - Present

NEWEDGE SECURITIES, LLC

Office #1: 2200 Atlantic Street 2nd Fl South, Stamford, CT 06902
BD
CRD#: 10674
Stamford, CT
Past

September 19, 2013 - May 10, 2022

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
NEW YORK, NY
Past

September 19, 2013 - May 10, 2022

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NEW YORK, NY
Past

December 7, 2004 - October 16, 2013

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
NEW YORK, NY
Past

October 29, 2004 - October 16, 2013

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

August 13, 2003 - November 11, 2004

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
NEW YORK, NY
Past

July 1, 2003 - November 11, 2004

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

September 15, 1989 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

October 19, 1988 - September 16, 1989

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(6/2/2022)
RR
California
(6/2/2022)
RR
Connecticut
(6/2/2022)
RR
District of Columbia
(1/10/2023)
RR
Florida
(6/2/2022)
RR
Illinois
(6/7/2022)
RR
Louisiana
(6/3/2022)
RR
Maine
(6/2/2022)
RR
Maryland
(6/2/2022)
RR
Massachusetts
(6/3/2022)
RR
Michigan
(6/2/2022)
RR
Nevada
(4/28/2025)
RR
New Jersey
(6/2/2022)
RR
New York
(6/2/2022)
RR
North Carolina
(6/2/2022)
RR
Ohio
(6/2/2022)
RR
Pennsylvania
(6/10/2022)
RR
Rhode Island
(1/2/2025)
RR
Tennessee
(6/3/2022)
RR
Texas
(6/2/2022)
RR
Virginia
(6/9/2025)
RR
Washington
(6/2/2022)
RR
Wisconsin
(6/6/2022)
RR
Wyoming
(2/12/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 9/20/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1988
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

NS
NEWEDGE SECURITIES, LLC
MID ATLANTIC CAPITAL CORPORATION | NEWEDGE SECURITIES, LLC | NEWEDGE SECURITIES, INC. | NEWEDGE SECURITIES LLC | MID ATLANTIC SECURITIES CORPORATION | MID ATLANTIC CAPITAL SECURITIES

CRD#: 10674 / SEC#: , 8-27663

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1251 Waterfront Place Suite 510, Pittsburgh, PA 15222-6368
Mailing Address
1251 Waterfront Place Suite 510, Pittsburgh, PA 15222-6368
Phone number
(412) 391-7077
Established
Pennsylvania since 12/14/1981
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NEWEDGE CAPITAL GROUP, LLCSHAREHOLDER
BANCO, JOSEPH FRANKLIN JRPRINCIPAL FINANCIAL OFFICER AND CFO2850198
CHAFFEE, HAROLD GERARDCHIEF COMPLIANCE OFFICER2905661
FONG, SARAH FVICE PRESIDENT2937709
JENKINS, WILLIAM HENRYMANAGING DIRECTOR - SUPERVISION3004337
SCHNIER, DAVID JASONGENERAL COUNSEL AND SECRETARY5110928
SESLER, JEAN ANNPRINCIPAL OPERATIONS OFFICER1809578
SMITH, KYLE PETERPRESIDENT2142563

Disclosures

Regulatory Event9
Civil Event2
Arbitration3

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.

Company Information

NEWEDGE SECURITIES, LLC

CRD#: 10674Stamford, CT 06902

TRUST BUT VERIFY

Monitor Francine Salerno

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Brian Joseph Marchini
Brian MarchiniAdvisorCheck Check Mark
LPL ENTERPRISE, LLC
IAR
RR
White Plains, NY
Philip David Meese
Philip MeeseAdvisorCheck Check Mark
AE WEALTH MANAGEMENT, LLC
IAR
Darien, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.