RH
Richard L. Hollmann
NEW EDGE WEALTH
STAMFORD, CT 06902
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CRD#: 2321706
RH
Professional summary
Richard Lewis Hollmann, who also goes by Richard L Hollmann, is a registered financial advisor currently at NEW EDGE WEALTH located in Stamford, Connecticut and NEWEDGE SECURITIES, LLC located in Stamford, Connecticut.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard L Hollmann
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 Richard Lewis Hollmann'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
September 8, 2021 - Present
NEW EDGE WEALTH
Office #1: 2200 Atlantic Street 2nd Floor, Stamford, CT 06902RIA
CRD#: 307771
STAMFORD, CT
Current
September 8, 2021 - Present
NEWEDGE SECURITIES, LLC
Office #1: 2200 Atlantic Street 2nd Fl South, Stamford, CT 06902BD
CRD#: 10674
Stamford, CT
Past
October 27, 2008 - September 27, 2021
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NEW YORK, NY
Past
October 27, 2008 - September 27, 2021
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
September 22, 2008 - November 5, 2008
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
July 17, 2007 - October 15, 2008
LEHMAN BROTHERS INC.
RIA
CRD#: 7506
NEW YORK, NY
Past
April 1, 2004 - September 22, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
June 22, 1993 - March 29, 2004
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
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 | 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
Alabama(9/28/2021)
RR
Alaska(9/8/2021)
RR
Arizona(9/8/2021)
RR
Arkansas(9/8/2021)
RR
California(9/8/2021)
RR
Colorado(9/8/2021)
RR
Connecticut(9/8/2021)
IAR
Connecticut(9/8/2021)
RR
Delaware(9/8/2021)
RR
District of Columbia(9/8/2021)
RR
Florida(9/8/2021)
RR
Georgia(9/8/2021)
RR
Hawaii(9/8/2021)
RR
Idaho(9/8/2021)
RR
Illinois(9/8/2021)
RR
Indiana(9/8/2021)
RR
Iowa(9/8/2021)
RR
Kansas(9/8/2021)
RR
Kentucky(9/8/2021)
RR
Louisiana(9/8/2021)
RR
Maine(9/8/2021)
RR
Maryland(9/8/2021)
RR
Massachusetts(9/8/2021)
RR
Michigan(9/8/2021)
RR
Minnesota(9/8/2021)
RR
Mississippi(9/8/2021)
RR
Missouri(9/8/2021)
RR
Montana(9/8/2021)
RR
Nebraska(9/8/2021)
RR
Nevada(9/8/2021)
RR
New Hampshire(9/8/2021)
RR
New Jersey(9/8/2021)
RR
New Mexico(9/8/2021)
RR
New York(9/8/2021)
RR
North Carolina(9/8/2021)
RR
North Dakota(9/8/2021)
RR
Ohio(9/8/2021)
RR
Oklahoma(9/8/2021)
RR
Oregon(9/8/2021)
RR
Pennsylvania(9/8/2021)
RR
Puerto Rico(9/8/2021)
RR
Rhode Island(9/8/2021)
RR
South Carolina(9/8/2021)
RR
South Dakota(9/8/2021)
RR
Tennessee(9/8/2021)
RR
Texas(9/8/2021)
RR
Utah(9/8/2021)
RR
Vermont(9/8/2021)
RR
Virgin Islands(9/8/2021)
RR
Virginia(9/8/2021)
RR
Washington(9/8/2021)
RR
West Virginia(9/8/2021)
RR
Wisconsin(9/8/2021)
RR
Wyoming(9/8/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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 | 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 |
|---|---|---|
| 01/27/2025 | ||
| 12/22/2023 | ||
| 01/27/2023 | ||
| 07/28/2022 |
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.
