Erik N. Feldman
Professional summary
Erik Niklas Feldman, who also goes by Erik Niklas Ffeldman, is a registered financial professional currently at NEWEDGE SECURITIES, LLC located in Pittsburgh, Pennsylvania.
Erik is registered as a RR (Registered Representative) and started their career in finance in 1995. Erik has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Erik Niklas Feldman's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 11, 2024 - Present
NEWEDGE SECURITIES, LLC
Office #1: 1251 Waterfront Place Suite 510, Pittsburgh, PA 15222-4235September 27, 2022 - September 19, 2023
PURSHE KAPLAN STERLING INVESTMENTS
May 9, 2018 - January 18, 2022
CHARLES SCHWAB & CO., INC.
August 27, 2009 - January 2, 2014
PERSHING ADVISOR SOLUTIONS LLC
September 9, 2008 - March 3, 2009
NATIONAL PLANNING CORPORATION
January 3, 2008 - September 12, 2008
INVEST FINANCIAL CORPORATION
November 21, 1995 - April 10, 2007
FIDELITY BROKERAGE SERVICES 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
(1/11/2024)
Exams
FINRA
Nasdaq Stock Market
Current Firm
NEWEDGE SECURITIES, LLC
CRD#: 10674 / SEC#: , 8-27663
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE CAPITAL GROUP, LLC | SHAREHOLDER | |
| BANCO, JOSEPH FRANKLIN JR | PRINCIPAL FINANCIAL OFFICER AND CFO | 2850198 |
| CHAFFEE, HAROLD GERARD | CHIEF COMPLIANCE OFFICER | 2905661 |
| FONG, SARAH F | VICE PRESIDENT | 2937709 |
| JENKINS, WILLIAM HENRY | MANAGING DIRECTOR - SUPERVISION | 3004337 |
| SCHNIER, DAVID JASON | GENERAL COUNSEL AND SECRETARY | 5110928 |
| SESLER, JEAN ANN | PRINCIPAL OPERATIONS OFFICER | 1809578 |
| SMITH, KYLE PETER | PRESIDENT | 2142563 |
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.
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