GS
Geraldine Shepard
NEWEDGE SECURITIES
HAMPTON FALLS, NH 03844
Some features on this profile are disabled
CRD#: 2085645
GS
Geraldine ShepardNEWEDGE SECURITIES
Professional summary
Geraldine Shepard, who also goes by Geraldine Carson, Geraldine Mcsweeney, Geri Shepard, is a registered financial professional currently at NEWEDGE SECURITIES, LLC located in Hampton Falls, New Hampshire.
Geraldine is registered as a RR (Registered Representative) and started their career in finance in 1995. Geraldine has worked at 4 firms and has passed the Series 63, Series 79TO, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 14 and Series 24 exams.
Aliases
Geraldine Carson | Geraldine Mcsweeney | Geri Shepard
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) - BD
Click below to view Geraldine Shepard'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
January 29, 2007 - Present
NEWEDGE SECURITIES, LLC
Office #1: 95 Lafayette Road, Suite 15, Hampton Falls, NH 03844BD
CRD#: 10674
HAMPTON FALLS, NH
Past
January 4, 2006 - January 30, 2007
COWEN EXECUTION SERVICES LLC
BD
CRD#: 35693
NEW YORK, NY
Past
July 19, 2005 - January 4, 2006
LYNCH, JONES & RYAN LLC
BD
CRD#: 3198
NEW YORK, NY
Past
March 14, 1996 - November 9, 2005
COWEN EXECUTION SERVICES LLC
BD
CRD#: 35693
NEW YORK, NY
Past
January 17, 1995 - March 8, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(1/29/2007)
RR
Alaska(1/5/2017)
RR
Arkansas(9/21/2016)
RR
California(1/29/2007)
RR
Colorado(10/7/2008)
RR
Connecticut(1/29/2007)
RR
Delaware(10/30/2007)
RR
Florida(1/29/2007)
RR
Georgia(12/17/2015)
RR
Idaho(6/5/2009)
RR
Illinois(1/29/2007)
RR
Indiana(1/29/2007)
RR
Iowa(6/25/2014)
RR
Kansas(1/29/2007)
RR
Kentucky(10/14/2008)
RR
Louisiana(9/10/2024)
RR
Maine(11/19/2009)
RR
Maryland(10/14/2008)
RR
Massachusetts(1/29/2007)
RR
Michigan(1/29/2007)
RR
Mississippi(10/14/2008)
RR
Missouri(1/29/2007)
RR
Nebraska(3/10/2011)
RR
Nevada(10/14/2009)
RR
New Hampshire(1/29/2007)
RR
New Jersey(9/10/2024)
RR
New Mexico(2/12/2009)
RR
New York(1/29/2007)
RR
North Carolina(3/30/2012)
RR
North Dakota(1/29/2007)
RR
Ohio(1/30/2007)
RR
Oklahoma(6/8/2009)
RR
Oregon(4/24/2009)
RR
Pennsylvania(1/29/2007)
RR
Rhode Island(10/14/2008)
RR
South Carolina(1/29/2007)
RR
South Dakota(10/28/2010)
RR
Tennessee(9/19/2011)
RR
Texas(10/30/2007)
RR
Utah(5/22/2018)
RR
Vermont(1/29/2007)
RR
Virginia(6/18/2009)
RR
Washington(1/29/2007)
RR
West Virginia(10/13/2021)
RR
Wisconsin(1/29/2007)
RR
Wyoming(8/28/2013)
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Passed: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Passed: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Passed: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NS
NEWEDGE SECURITIES, LLC
MID ATLANTIC CAPITAL CORPORATION | NEWEDGE SECURITIES, LLC | NEWEDGE SECURITIES, INC. | NEWEDGE SECURITIES LLC | MID ATLANTIC SECURITIES CORPORATION | MID ATLANTIC CAPITAL SECURITIES
CRD#: 10674 / SEC#: , 8-27663
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
Loading...
Contact information
Main Address
1251 Waterfront Place Suite 510, Pittsburgh, PA 15222-6368
Mailing Address
1251 Waterfront Place Suite 510, Pittsburgh, PA 15222-6368
Phone number
(888) 271-5273
Established
Pennsylvania since 12/14/1981
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE CAPITAL GROUP, LLC | SHAREHOLDER | |
| BANCO, JOSEPH FRANKLIN JR | CHIEF FINANCIAL OFFICER, TREASURER AND DIRECTOR | 2850198 |
| CHAFFEE, HAROLD GERARD | CHIEF COMPLIANCE OFFICER | 2905661 |
| FONG, SARAH F | VICE PRESIDENT | 2937709 |
| JENKINS, WILLIAM HENRY | MANAGING DIRECTOR - SUPERVISION | 3004337 |
| JESSE, JAMES WILLIAM JR. | DIRECTOR | 4244855 |
| SMITH, KYLE PETER | PRESIDENT AND DIRECTOR | 2142563 |
| TIMMERMAN, ERIN NICOLE | GENERAL COUNSEL | 6387118 |
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NEWEDGE SECURITIES, LLC
CRD#: 10674Hampton Falls, NH 03844TRUST BUT VERIFY
Monitor Geraldine Shepard
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
