Gabrielle Spady
Professional summary
Gabrielle Spady, who also goes by Gabrielle Paul, is a registered financial professional currently at NEWEDGE SECURITIES, LLC located in Stamford, Connecticut.
Gabrielle is registered as a RR (Registered Representative) and started their career in finance in 1997. Gabrielle has worked at 12 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gabrielle Spady's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 13, 2023 - Present
NEWEDGE SECURITIES, LLC
Office #1: 2200 Atlantic Street 2nd Fl South, Stamford, CT 06902September 29, 2023 - October 14, 2023
J.P. MORGAN SECURITIES LLC
February 5, 2021 - September 29, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
November 15, 2018 - February 9, 2021
B. RILEY WEALTH MANAGEMENT
November 30, 2017 - November 19, 2018
B. RILEY SECURITIES, INC.
November 19, 2015 - November 30, 2017
B. RILEY & CO., LLC
June 29, 2005 - November 20, 2015
LADENBURG THALMANN & CO. INC.
March 5, 2004 - May 6, 2004
CITIGROUP GLOBAL MARKETS INC.
July 14, 2003 - August 8, 2003
NEUBERGER BERMAN BD LLC
May 16, 2000 - July 21, 2003
J.P. MORGAN SECURITIES LLC
September 30, 1998 - April 14, 2000
FIRST NEW YORK SECURITIES L.L.C.
August 18, 1998 - September 8, 1998
CITICORP INVESTMENT SERVICES
July 24, 1997 - July 15, 1998
TD AMERITRADE, 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
(12/13/2023)
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(10/23/2023)
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(10/20/2023)
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(10/16/2023)
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq Stock Market
Current Firm
NEWEDGE SECURITIES, LLC
CRD#: 10674 / SEC#: , 8-27663
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE CAPITAL GROUP, LLC | SHAREHOLDER | |
| BANCO, JOSEPH FRANKLIN JR | PRINCIPAL FINANCIAL OFFICER AND CFO | 2850198 |
| CHAFFEE, HAROLD GERARD | CHIEF COMPLIANCE OFFICER | 2905661 |
| FONG, SARAH F | VICE PRESIDENT | 2937709 |
| JENKINS, WILLIAM HENRY | MANAGING DIRECTOR - SUPERVISION | 3004337 |
| SCHNIER, DAVID JASON | GENERAL COUNSEL AND SECRETARY | 5110928 |
| SESLER, JEAN ANN | PRINCIPAL OPERATIONS OFFICER | 1809578 |
| SMITH, KYLE PETER | PRESIDENT | 2142563 |
Disclosures
| Regulatory Event | 9 |
| Civil Event | 2 |
| Arbitration | 3 |
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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