David J. Brennen

NEWEDGE SECURITIES

Pittsburgh, PA 15222-4235

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CRD#: 2790670

Professional summary

David John Brennen, who also goes by Dave Brennen, is a registered financial professional currently at NEWEDGE SECURITIES, LLC located in Pittsburgh, Pennsylvania.

David is registered as a RR (Registered Representative) and started their career in finance in 1996. David has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dave Brennen

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 David John Brennen'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

December 6, 2018 - Present

NEWEDGE SECURITIES, LLC

Office #1: 1251 Waterfront Place Suite 510, Pittsburgh, PA 15222-4235

CRD#: 10674

Pittsburgh, PA

Past

August 7, 2017 - November 3, 2017

CHARLES SCHWAB & CO., INC.

CRD#: 5393

CHICAGO, IL

Past

July 27, 2005 - December 17, 2010

FEDERATED SECURITIES CORP.

CRD#: 5009

PITTSBURGH, PA

Past

June 25, 2005 - August 2, 2005

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

September 10, 1996 - June 25, 2005

PARKER/HUNTER INCORPORATED

CRD#: 7324

PITTSBURGH, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Massachusetts
(7/2/2019)

Pennsylvania
(12/7/2018)

Exams

State Security Law Exam

Series 63

Date: 8/17/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/3/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/7/2017

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/26/2018

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 7/10/1998

Financial and Operations Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

NEWEDGE SECURITIES, LLC

CRD#: 10674 / SEC#: , 8-27663

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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Advisor Monitoring

Firm Stability Insights

David J. Brennen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David John Brennen's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

FEDERATED SECURITIES CORP.

JANNEY MONTGOMERY SCOTT LLC

PARKER/HUNTER INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 8/17/2017

SIE

Date: 11/3/2017

Series 7

Date: 8/7/2017

Series 24

Date: 12/26/2018

Series 27

Date: 7/10/1998

FINRA

Nasdaq Stock Market

Current Firm

NEWEDGE SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NEWEDGE SECURITIES, LLC

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