Richard M. Ina

NEW EDGE WEALTH | Managing Director–Wealth Management

Franklin, TN 37067

Some features on this profile are disabled

CRD#: 1769041

Professional summary

Richard Maroon Ina, who also goes by Rich Ina, Richard M Ina, is a registered financial advisor currently at NEW EDGE WEALTH located in Franklin, Tennessee and NEWEDGE SECURITIES, LLC located in Franklin, Tennessee.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Richard has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rich Ina | Richard M Ina

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.NewEdge Wealth*IAR registration with NewEdge Wealth*Yes Invest*80 Hrs mnth/80 Trade*6/2/23*Franklin, TN 2.Ina Wealth Financial Services, LLC*Yes Invest*TN*Formed to join NE wealth*Managing Member*LLC created to join NE wealth*160 Hrs trade/160 Non trade 3.martec management company*s corp for new*No Invest*280 per mnth/during trade*6/7/23* 4.NewEdge Wealth*Fixed insurance business*Yes invest*1 Hr per mnth/during trade*6/21/23

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Maroon Ina'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

Education

Accounting

- 1985

Accredited Asset Management Specialist

- 2011

Certified Financial Manager

- 2001

Experience

Current

June 2, 2023 - Present

NEW EDGE WEALTH

Office #1: 3401 Mallory Lane, Suite 435, Franklin, TN 37067

RIA

CRD#: 307771

Franklin, TN

Current

June 2, 2023 - Present

NEWEDGE SECURITIES, LLC

Office #1: 3401 Mallory Lane, Suite 430, Franklin, TN 37067

CRD#: 10674

Franklin, TN

Past

January 12, 2010 - June 13, 2023

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

Franklin, TN

Past

January 8, 2010 - June 13, 2023

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Franklin, TN

Past

November 30, 2004 - January 20, 2010

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SAN DIEGO, CA

Past

November 30, 2004 - January 20, 2010

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN DIEGO, CA

Past

August 14, 2003 - November 22, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

August 11, 2003 - November 22, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SAN DIEGO, CA

Past

June 22, 1998 - August 12, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHAGRIN FALLS, OH

Past

June 19, 1998 - August 12, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 31, 1993 - June 4, 1998

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 20, 1989 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 6, 1988 - March 20, 1989

AT INVESTMENT SERVICES CORP.

CRD#: 16846

Past

November 25, 1987 - August 23, 1988

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Alabama
(6/14/2023)

Arizona
(6/2/2023)

California
(6/2/2023)

Colorado
(6/2/2023)

Delaware
(11/14/2024)

Florida
(6/5/2023)

Georgia
(6/2/2023)

Hawaii
(6/14/2023)

Idaho
(11/14/2024)

Indiana
(11/14/2024)

Iowa
(7/8/2024)

Kentucky
(6/2/2023)

Maryland
(10/9/2025)

Michigan
(6/2/2023)

Nevada
(6/13/2023)

New Hampshire
(11/14/2024)

New Mexico
(6/2/2023)

New York
(6/2/2023)

North Carolina
(6/2/2023)

Ohio
(6/2/2023)

Oregon
(6/2/2023)

South Carolina
(6/6/2023)

Tennessee
(6/2/2023)

IAR

Tennessee
(6/2/2023)

Texas
(6/2/2023)

IAR

Texas
(6/2/2023)

Utah
(6/2/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/26/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/7/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/3/2010

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/21/1987

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NEWEDGE WEALTH LLC WRAP FEE PROGRAM BROCHURE (3/31/2025)

NEWEDGE WEALTH FORM ADV PART 2A FIRM BROCHURE (3/31/2025)

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	Cover Page	Report
12/22/2023	Cover Page	Report
01/27/2023	Cover Page	Report
07/28/2022	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Richard M. Ina

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Maroon Ina's CRS (Customer Relationship Summary).

Certified licenses

Education

Experience

NEWEDGE SECURITIES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

AT INVESTMENT SERVICES CORP.

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

NEW EDGE WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 8/26/1992

Series 63

Date: 12/7/1987

SIE

Date: 10/1/2018

Series 31

Date: 5/3/2010

Series 7

Date: 11/21/1987

FINRA

Nasdaq Stock Market

Current Firm

NEW EDGE WEALTH

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NEW EDGE WEALTH

TRUST BUT VERIFY

Contact information

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