SK
Susan E. Kim
NEW EDGE WEALTH
STAMFORD, CT 06902
Some features on this profile are disabled
CRD#: 4436581
SK
Professional summary
Susan E. Kim is a registered financial advisor currently at NEW EDGE WEALTH located in Stamford, Connecticut and NEWEDGE SECURITIES, LLC located in Stamford, Connecticut.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Susan has worked at 5 firms and has passed the Series 63, Series 7TO and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) Name of the other business:Susan Kim Global Real Estate Advisory RE Whether the business is investment-related: -- NO Address of the other business:999 Green 1203 SF, CA 94133 Nature of the other business: Real Estate Your position, title, or relationship with the other business: CEO Start date of your relationship:07/2018 Approximate number of hours/month you devote to the other business:10 - - - - - - - - - - - - 2)NEW EDGE WEALTH, LLC~INVESTMENT RELATED~DARIEN, CONNECTICUT, 06820~ANALYST~JULY 2021~80HRS PER MONTH~80HRS PER MONTH DURING MARKET~FINANCIAL SERVICES TO HIGH NET WORTH INDIVIDUALS
CRS (Client Relationship Summary) - RIA
Click below to view Susan E. Kim'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®
NoneExperience
Current
July 20, 2021 - Present
NEW EDGE WEALTH
Office #1: 2200 Atlantic Street 2nd Floor, Stamford, CT 06902RIA
CRD#: 307771
STAMFORD, CT
Current
November 9, 2021 - Present
NEWEDGE SECURITIES, LLC
Office #1: 2200 Atlantic Street 2nd Fl South, Stamford, CT 06902BD
CRD#: 10674
Stamford, CT
Past
October 9, 2020 - May 28, 2021
LIDO
RIA
CRD#: 269866
NEW YORK, NY
Past
November 15, 2013 - January 6, 2016
DECKER & CO, LLC
BD
CRD#: 166446
MENLO PARK, CA
Past
October 15, 2001 - May 29, 2008
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, 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
Arizona(2/9/2022)
IAR
California(7/20/2021)
RR
California(2/9/2022)
IAR
Connecticut(7/20/2021)
RR
Connecticut(11/9/2021)
RR
Illinois(1/17/2024)
RR
Nevada(1/3/2023)
RR
New Jersey(2/9/2022)
RR
New York(2/9/2022)
IAR
Texas(1/3/2024)
RR
Texas(1/4/2024)
RR
Utah(8/7/2023)
RR
Washington(2/9/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/8/2021
General Securities Representative ExaminationGeneral 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.
