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GD

Gary A. Dewaal

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CRD#: 1665650
GD

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Gary Alan Dewaal, who also goes by Gary A Dewaal, was a registered financial professional .

Gary is a previously registered financial professional and started their career in finance in 1987. Gary had worked at 5 firms and has passed the Series 3 and Series 14 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gary A Dewaal

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 2, 2008 - September 1, 2008

NEWEDGE FINANCIAL INC.

BD
CRD#: 27322
CHICAGO, IL
Past

July 28, 2005 - January 2, 2007

FIMAT PREFERRED LLC

BD
CRD#: 135680
SAN FRANCISCO, CA
Past

November 20, 2001 - January 15, 2013

NEWEDGE USA, LLC

BD
CRD#: 36118
NEW YORK, NY
Past

July 25, 1987 - May 5, 1988

THE MOCATTA CORPORATION

BD
CRD#: 19742
Past

July 25, 1987 - April 10, 1989

FALCONWOOD SECURITIES CORPORATION

BD
CRD#: 10330

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 3
Date: 7/9/1987
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 14
Date: 2/20/2007
Compliance Officer Examination

Current Firm

NF
NEWEDGE FINANCIAL INC.
CALYON FINANCIAL INC. | NEWEDGE FINANCIAL INC. | INDOSUEZ CARR FUTURES, INC. | CARR FUTURES INC. | CARR FUTURES

CRD#: 27322 / SEC#: , 8-40335

BD
Terminated by SEC on 11/25/2008
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/01/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
NEWEDGE USA, LLCDIRECT OWNER36118
DOWNS, YVONNE JOYCE MRS.CHIEF COMPLIANCE OFFICER5013205
GILLIS, THOMAS PETERCFO AMERICAS, FINOP1938224
JONES, STEVEN WILLIAMROSFP2464842
PENNINGTON, CRYSTAL ELIZABETHROSFP3209829
ROSEMAN, MICHAEL KENTHEAD OF RISK3151254
SAVIGNAC, JEAN-LUCCOO4813089
SCHULTZ, MARC ANDREWCEO AMERICAS1656077
SCHULTZ, SUSAN MDEPUTY GENERAL COUNSEL4804207

Disclosures

Regulatory Event28

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 FINANCIAL INC.

CRD#: 27322

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