Dale D. Schroeder

NEW EDGE WEALTH

San Francisco, CA 94111

Some features on this profile are disabled

CRD#: 4485005

Professional summary

Dale Douglas Schroeder is a registered financial advisor currently at NEW EDGE WEALTH located in San Francisco, California and NEWEDGE SECURITIES, LLC located in San Francisco, California.

Dale is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Dale has worked at 7 firms and has passed the Series 66, Series 65, SIE, Series 31 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.NewEdge Wealth*NewEdge Wealth is the RIA I am currently licensed with in addition to the broker-dealer NewEdge Securities.*Yes Invest*80 Hrs per week/76 During Trade*9/29/23*Stamford, CT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dale Douglas Schroeder'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

September 29, 2023 - Present

NEW EDGE WEALTH

Office #1: 50 California Street Suite 2650, San Francisco, CA 94111

RIA

CRD#: 307771

San Francisco, CA

Current

September 29, 2023 - Present

NEWEDGE SECURITIES, LLC

Office #1: 50 California Street, Suite 1503, San Francisco, CA 94111

CRD#: 10674

San Francisco, CA

Past

January 3, 2011 - October 26, 2023

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAN FRANCISCO, CA

Past

January 3, 2011 - October 26, 2023

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SAN FRANCISCO, CA

Past

October 19, 2009 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SAN FRANCISCO, CA

Past

October 16, 2009 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

January 2, 2007 - October 23, 2009

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

SAN FRANCISCO, CA

Past

December 20, 2006 - October 23, 2009

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

SAN FRANCISCO, CA

Past

January 1, 2003 - December 8, 2003

CROSSROADS CAPITAL MANAGEMENT LLC

RIA

CRD#: 123306

SAN FRANCISCO, CA

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

California
(9/29/2023)

IAR

California
(9/29/2023)

Maryland
(5/6/2025)

North Carolina
(1/2/2025)

South Carolina
(1/2/2025)

IAR

Texas
(9/29/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/29/2006

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/28/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/5/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/19/2006

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

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

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NEWEDGE WEALTH LLC WRAP FEE PROGRAM BROCHURE (3/31/2025)

NEWEDGE WEALTH FORM ADV PART 2A FIRM BROCHURE (3/31/2025)

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	Cover Page	Report
12/22/2023	Cover Page	Report
01/27/2023	Cover Page	Report
07/28/2022	Cover Page	Report

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.

Similar Advisors

Adam Green

J.P. MORGAN SECURITIES LLC

IAR

SAN MATEO, CA

Maximilian Soares

J.P. MORGAN SECURITIES LLC

San Francisco, CA

Jason Fang

TERRAFIRMA WEALTH PARTNERS

IAR

WALNUT CREEK, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Dale D. Schroeder

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dale Douglas Schroeder's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEWEDGE SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

CROSSROADS CAPITAL MANAGEMENT LLC

Primary Firm SEC Registration

NEW EDGE WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 12/29/2006

Series 65

Date: 8/28/2002

SIE

Date: 10/1/2018

Series 31

Date: 1/5/2007

Series 7

Date: 12/19/2006

FINRA

Nasdaq Stock Market

Current Firm

NEW EDGE WEALTH

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NEW EDGE WEALTH

TRUST BUT VERIFY

Similar Advisors