Richard L. Wedepohl
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.
Richard Lance Wedepohl, who also goes by Richard L Wedepohl, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1997. Richard had worked at 3 firms and has passed the Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2008 - May 16, 2014
NEWEDGE USA, LLC
January 30, 2002 - September 1, 2008
NEWEDGE FINANCIAL INC.
October 10, 1997 - January 30, 2002
PRUDENTIAL EQUITY GROUP, LLC
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
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