Gary A. Dewaal
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2008 - September 1, 2008
NEWEDGE FINANCIAL INC.
July 28, 2005 - January 2, 2007
FIMAT PREFERRED LLC
November 20, 2001 - January 15, 2013
NEWEDGE USA, LLC
July 25, 1987 - May 5, 1988
THE MOCATTA CORPORATION
July 25, 1987 - April 10, 1989
FALCONWOOD SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NEWEDGE FINANCIAL INC.
CRD#: 27322 / SEC#: , 8-40335
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE USA, LLC | DIRECT OWNER | 36118 |
| DOWNS, YVONNE JOYCE MRS. | CHIEF COMPLIANCE OFFICER | 5013205 |
| GILLIS, THOMAS PETER | CFO AMERICAS, FINOP | 1938224 |
| JONES, STEVEN WILLIAM | ROSFP | 2464842 |
| PENNINGTON, CRYSTAL ELIZABETH | ROSFP | 3209829 |
| ROSEMAN, MICHAEL KENT | HEAD OF RISK | 3151254 |
| SAVIGNAC, JEAN-LUC | COO | 4813089 |
| SCHULTZ, MARC ANDREW | CEO AMERICAS | 1656077 |
| SCHULTZ, SUSAN M | DEPUTY GENERAL COUNSEL | 4804207 |
Disclosures
| Regulatory Event | 28 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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