Harold G. Chaffee
Professional summary
Harold Gerard Chaffee, who also goes by Harold G Chaffee, Harold G. Chaffee, Harry Chaffee, Harold Chaffee, is a registered financial professional currently at NEWEDGE SECURITIES, LLC located in Pittsburgh, Pennsylvania.
Harold is registered as a RR (Registered Representative) and started their career in finance in 1997. Harold has worked at 13 firms and has passed the Series 63, Series 7TO, SIE, Series 3, Series 87, Series 86, Series 7, Series 14, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Harold Gerard Chaffee's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 7, 2025 - Present
NEWEDGE SECURITIES, LLC
Office #1: 1251 Waterfront Place Suite 510, Pittsburgh, PA 15222-4235October 31, 2023 - September 30, 2024
OSAIC SERVICES, INC.
October 16, 2023 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
October 16, 2023 - September 30, 2024
OSAIC WEALTH, INC.
October 16, 2023 - September 30, 2024
OSAIC INSTITUTIONS, INC.
October 16, 2023 - September 30, 2024
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
May 23, 2022 - September 30, 2024
TRIAD ADVISORS LLC
November 9, 2021 - August 19, 2024
SECURITIES AMERICA, INC.
April 27, 2021 - October 25, 2021
B. RILEY WEALTH MANAGEMENT
March 15, 2021 - October 25, 2021
B. RILEY WEALTH MANAGEMENT
January 25, 2019 - October 25, 2021
NATIONAL SECURITIES CORPORATION
August 16, 2018 - October 25, 2021
B. RILEY WEALTH ADVISORS, INC.
June 7, 2010 - August 31, 2010
R.M. STARK & CO., INC.
November 25, 2003 - May 12, 2008
TRIAD ADVISORS LLC
October 16, 2001 - May 12, 2008
TRIAD ADVISORS LLC
August 1, 1997 - January 5, 2000
J.C. BRADFORD & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/7/2025)
Exams
Series 7TO
Date: 1/25/2019
General Securities Representative ExaminationFINRA
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
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