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PL

Paul R. Loucks

NEWEDGE SECURITIES
Albany, NY 12205
Some features on this profile are disabled
CRD#: 2537725
PL

Professional summary

Paul R Loucks, who also goes by Paul Richard Loucks, is a registered financial professional currently at NEWEDGE SECURITIES, LLC located in Albany, New York.

Paul is registered as a RR (Registered Representative) and started their career in finance in 1994. Paul has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Paul Richard Loucks

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paul R Loucks's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 20, 2026 - Present

NEWEDGE SECURITIES, LLC

Office #1: 125 Wolf Road, Suite 118, Albany, NY 12205
BD
CRD#: 10674
Albany, NY
Past

November 3, 2023 - March 21, 2026

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Albany, NY
Past

November 3, 2023 - March 21, 2026

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Albany, NY
Past

May 4, 2021 - November 7, 2023

CADARET, GRANT & CO., INC.

RIA
CRD#: 10641
ALBANY, NY
Past

January 2, 1998 - November 7, 2023

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
ALBANY, NY
Past

March 6, 1996 - January 2, 1998

PINEBRIDGE SECURITIES LLC

BD
CRD#: 5967
NEW YORK, NY
Past

October 7, 1994 - March 5, 1996

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
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
California
(2/20/2026)
RR
District of Columbia
(2/20/2026)
RR
Florida
(2/20/2026)
RR
Massachusetts
(2/20/2026)
RR
New York
(2/20/2026)
RR
South Carolina
(2/20/2026)
RR
Texas
(2/20/2026)
RR
Virginia
(2/20/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 10/6/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/11/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/6/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/31/2002
General Securities Principal Examination
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)
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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
(412) 391-7077
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NEWEDGE CAPITAL GROUP, LLCSHAREHOLDER
BANCO, JOSEPH FRANKLIN JRPRINCIPAL FINANCIAL OFFICER AND CFO2850198
CHAFFEE, HAROLD GERARDCHIEF COMPLIANCE OFFICER2905661
FONG, SARAH FVICE PRESIDENT2937709
JENKINS, WILLIAM HENRYMANAGING DIRECTOR - SUPERVISION3004337
SCHNIER, DAVID JASONGENERAL COUNSEL AND SECRETARY5110928
SESLER, JEAN ANNPRINCIPAL OPERATIONS OFFICER1809578
SMITH, KYLE PETERPRESIDENT2142563

Disclosures

Regulatory Event9
Civil Event2
Arbitration3

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#: 10674Albany, NY 12205

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Contact information

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