John F. Fay
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.
John Francis Fay, who also goes by John F Fay, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1998. John had worked at 10 firms and has passed the Series 63, Series 3, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2010 - January 8, 2014
NEWEDGE USA, LLC
April 21, 2005 - June 1, 2006
BRIDGE TRADING COMPANY
March 4, 2003 - June 30, 2005
LYNCH, JONES & RYAN LLC
November 14, 2002 - June 1, 2006
INSTINET, LLC
November 14, 2002 - July 5, 2007
INSTINET, LLC
July 25, 2001 - December 15, 2005
NASDAQ CAPITAL MARKETS ADVISORY LLC
July 25, 2001 - December 15, 2005
INET ATS, INC.
January 20, 2000 - July 18, 2001
GOLDMAN SACHS & CO. LLC
July 6, 1998 - November 23, 1999
MORGAN STANLEY DW INC.
June 12, 1998 - November 24, 1999
MORGAN STANLEY DEAN WITTER ONLINE INC.
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 USA, LLC
CRD#: 36118 / SEC#: , 8-47023
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE GROUP | 100% OWNER OF NEWEDGE USA, LLC - CLASS A AND CLASS C MEMBER | |
| BABULE, ANTOINE JULIEN | CEO | 5778863 |
| BOND, ROBERT | HEAD OF FFOE & FI NEW YORK | 4121948 |
| COHEN, ADAM MICHAEL | HEAD OF US INSTITUTIONAL SALES PCS | 2560856 |
| CULLEN, EDWARD PATRICK | CHIEF FINANCIAL OFFICER AMERICAS/FINOP | 1551615 |
| DAVY, STEPHEN P | HEAD OF IT | 5644503 |
| EICKBUSH, GREGORY FRANCIS | HEAD OF OPERATIONS, AMERCIAS | 2533204 |
| GAUGHAN, SUSAN KATHLEEN | REGISTERED OPTIONS PRINCIPAL AND BRANCH MANAGER CHICAGO | 2530985 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| LOPRESTI, JOHN | HEAD OF SECURITIES OPERATIONS AMERICAS | 1999981 |
| MURPHY, ANGELIQUE REGINA | GLOBAL CHIEF OPERATING OFFICER ACTING AMERICAS HEAD OF FFOE & FI | 2355417 |
| PIETANZA, ELIZABETH CATHERINE | BRANCH MANAGER, NEW YORK | 2192911 |
| RICHTER, DAVID JAMES | HEAD OF US HIGH FREQUENCY SALES PCS | 1853383 |
| SARGENT, JEFFREY JOSEPH | HEAD OF SECURITIES COMPLIANCE AMERICAS | 2648637 |
Disclosures
| Regulatory Event | 60 |
| Arbitration | 1 |
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.
