JF
John D. Froley
NEW EDGE WEALTH | Wealth Manager
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 2481618
JF
Professional summary
John Dominick Froley, CFP®, who also goes by John D Froley, is a registered financial advisor currently at NEW EDGE WEALTH located in San Francisco, California and NEWEDGE SECURITIES, LLC located in San Francisco, California.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. John has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Financial planning
Loans/credit services
Philanthropic services
Trust & estate planning
Executive services/Equity comp...
Trading individual securities
Retirement planning
What is your current number of clients?
Under 100
What is your minimum asset requirement?
750K
Are you a "fiduciary"?
Yes
Aliases
John D Froley
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.
1.Froley Family Fund*Voting member of the Trustees for the Froley Famly Fund. Overseeing the annual distribution of funds from a donor advised charitable fund; attending 3x/year family fund meetings to review charitable gifts made and the organizations supported.*No Invest*.1 Hrs/0 Trade*12/31/06*Pacific Palisades, CA 2. San Francisco Waldorf School*volunteer member of school investment committee under oversight of school cfo and board of directors. I suggest investment allocation and particpate in quarterly investment committee meetings to review.*Yes Invest*1 Per mnth/1 trade*6/21/23 3.Huckleberry Youth Programs*Yes Invest*Providing advice and oversight on the investment allocation and supervision of the entity's endowment portfolio and portfolio of cash reserves.*3Hrs per mnth/1 trdae*3/4/24* San Francisco, CA 4. MAKA Family Limited Partnership*I am managing member of a family limited partnership as successor trustee of my now deceased mother's irrevocable trust - Mary Ann Froley Revocable Trust, owner of MAKA Froley LLC, manager of the MAKA Family Limited Partnership. We manage one commercial real estate property plus one residential real estate property under the FLP with a FLP investment account at NewEdge Wealth and a FLP checking account.*Yes Invest*5 Hrs per mnth/ 5 Trade*12/10/23
CRS (Client Relationship Summary) - RIA
Click below to view John Dominick Froley'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®
CFP®
Start date: 2008
Experience
Current
June 22, 2023 - Present
NEW EDGE WEALTH
Office #1: 1700 Montgomery Streetsuite 108, San Francisco, CA 94111RIA
CRD#: 307771
San Francisco, CA
Current
June 22, 2023 - Present
NEWEDGE SECURITIES, LLC
Office #1: 1700 Montgomery Street Suite 108, San Francisco, CA 94111BD
CRD#: 10674
San Francisco, CA
Past
July 14, 2010 - June 29, 2023
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
RIA
CRD#: 108559
SAN FRANCISCO, CA
Past
August 20, 2008 - October 1, 2009
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
RIA
CRD#: 108559
SAN FRANCISCO, CA
Past
August 20, 2008 - September 30, 2010
FIRST REPUBLIC WEALTH ADVISORS, LLC
RIA
CRD#: 132035
SAN FRANCISCO, CA
Past
August 20, 2008 - June 29, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
BD
CRD#: 105108
SAN FRANCISCO, CA
Past
December 6, 2004 - August 21, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
SAN FRANCISCO, CA
Past
December 6, 2004 - August 21, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
SAN FRANCISCO, CA
Past
February 11, 2002 - December 8, 2004
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SAN FRANCISCO, CA
Past
November 26, 2001 - December 8, 2004
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
April 25, 2001 - May 7, 2001
DIRECT CAPITAL SECURITIES, INC.
BD
CRD#: 29639
AUSTIN, TX
Past
February 28, 1997 - April 4, 2001
WELLS FARGO SECURITIES, LLC
BD
CRD#: 7665
SAN FRANCISCO, CA
Past
March 15, 1995 - October 10, 1995
G.RESEARCH, LLC
BD
CRD#: 7353
RYE, 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
California(6/22/2023)
IAR
California(6/22/2023)
RR
Hawaii(6/22/2023)
RR
Maryland(6/22/2023)
IAR
Texas(6/22/2023)
RR
Utah(6/22/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
NEW EDGE WEALTH
Wealth ManagerCRD#: 307771San Francisco, CA 94111TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
