DD
David J. Down
NEW EDGE WEALTH
PITTSBURGH, PA 15222
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CRD#: 1901538
DD
Professional summary
David John Down, who also goes by Dave Down, is a registered financial advisor currently at NEW EDGE WEALTH located in Pittsburgh, Pennsylvania and NEWEDGE SECURITIES, LLC located in Pittsburgh, Pennsylvania.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. David has worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Down
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.
CRS (Client Relationship Summary) - RIA
Click below to view David John Down's 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®
NoneExperience
Current
October 28, 2020 - Present
NEW EDGE WEALTH
Office #1: 1251 Waterfront Place Suite 510, Pittsburgh, PA 15222RIA
CRD#: 307771
PITTSBURGH, PA
Current
November 13, 1991 - Present
NEWEDGE SECURITIES, LLC
Office #1: 1251 Waterfront Place Suite 510, Pittsburgh, PA 15222-4235BD
CRD#: 10674
Pittsburgh, PA
Past
November 1, 2021 - May 11, 2023
NEWEDGE ADVISORS
RIA
CRD#: 171351
Pittsburg, PA
Past
July 10, 2017 - January 5, 2023
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION
BD
CRD#: 37466
Pittsburgh, PA
Past
August 24, 1994 - November 1, 2021
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
RIA
CRD#: 109771
PITTSBURGH, PA
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".
NE
NEW EDGE WEALTH
NEW EDGE WEALTH | NEWEDGE WEALTH, LLC | NEWEDGE INVESTMENT SOLUTIONS | NEWEDGE FAMILY OFFICE | 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)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.RR
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
RR
California(7/10/1998)
RR
Colorado(1/1/1992)
RR
Florida(7/14/1998)
RR
Indiana(7/16/1998)
RR
Massachusetts(10/6/1998)
RR
Michigan(7/10/1998)
RR
Montana(1/4/2010)
RR
New Jersey(10/6/1998)
RR
New York(9/4/1992)
RR
Ohio(12/22/1997)
RR
Pennsylvania(1/6/1992)
IAR
Pennsylvania(10/28/2020)
RR
South Carolina(1/4/2026)
RR
Tennessee(1/2/2024)
IAR
Texas(1/3/2024)
RR
Virgin Islands(8/1/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NE
NEW EDGE WEALTH
NEW EDGE WEALTH | NEWEDGE WEALTH, LLC | NEWEDGE INVESTMENT SOLUTIONS | NEWEDGE FAMILY OFFICE | 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)Upgrade to AdvisorCheck Premium
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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)
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 |
|---|---|---|
| 12/19/2025 | ||
| 01/27/2025 | ||
| 12/22/2023 | ||
| 01/27/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
