Stephen A. Bell
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.
Stephen Allan Bell was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1968. Stephen had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2022 - September 6, 2024
NEW EDGE WEALTH
April 29, 2022 - September 6, 2024
NEWEDGE SECURITIES, LLC
October 16, 2013 - May 12, 2022
UBS FINANCIAL SERVICES INC.
September 19, 2013 - May 12, 2022
UBS FINANCIAL SERVICES INC.
December 7, 2004 - October 16, 2013
J.P. MORGAN SECURITIES LLC
October 29, 2004 - October 16, 2013
J.P. MORGAN SECURITIES LLC
July 1, 2003 - November 11, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - November 11, 2004
WELLS FARGO CLEARING SERVICES, LLC
September 15, 1989 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 9, 1973 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
June 22, 1973 - June 5, 1974
HALLE STIEGLITZ FILOR BULLARD INC
July 16, 1968 - June 8, 1973
WEIS SECURITIES, INC.
Primary Firm SEC Registration
NEW EDGE WEALTH
CRD#: 307771 / SEC#: 801-118291
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 2/20/1963
Registered Representative ExaminationSeries 40
Date: 10/26/1978
Registered Principal ExaminationCurrent Firm
NEW EDGE WEALTH
CRD#: 307771 / SEC#: 801-118291
Contact information
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.
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