AZ
Aaron L. Zises
NEW EDGE WEALTH
Stamford, CT 06902
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CRD#: 5119746
AZ
Professional summary
Aaron Louis Zises, AIF® is a registered financial advisor currently at NEW EDGE WEALTH located in Stamford, Connecticut and NEWEDGE SECURITIES, LLC located in Stamford, Connecticut.
Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Aaron has worked at 6 firms and has passed the Series 66, Series 63, SIE 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*Yes Invest*Principal with NewEdge Wealth*80 per mnth/80trade*3/29/23*Stamford, CT 2.Jewish Communal Fund*Trustee of the Jewish Communal Fund (JCF),Vice President and Chair of the Nominating Committee a donor advised fund. Member of the Investment Committee of JCF.*No invest*5 Hrs per mnth/1 trade*3/30/23
CRS (Client Relationship Summary) - RIA
Click below to view Aaron Louis Zises'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®
Experience
Current
April 4, 2023 - Present
NEW EDGE WEALTH
Office #1: 2200 Atlantic Street Suite 200, Stamford, CT 06902RIA
CRD#: 307771
Stamford, CT
Current
March 29, 2023 - Present
NEWEDGE SECURITIES, LLC
Office #1: 2200 Atlantic Street 2nd Fl South, Stamford, CT 06902BD
CRD#: 10674
Stamford, CT
Past
December 20, 2018 - January 26, 2023
HIGHTOWER ADVISORS, LLC
RIA
CRD#: 145323
New York City, NY
Past
December 17, 2018 - January 26, 2023
HIGHTOWER SECURITIES, LLC
BD
CRD#: 116681
NEW YORK, NY
Past
November 25, 2015 - January 7, 2019
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
NEW YORK, NY
Past
January 26, 2015 - January 7, 2019
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
NEW YORK, NY
Past
June 27, 2013 - January 9, 2015
FAMILY MANAGEMENT SECURITIES, LLC
BD
CRD#: 44319
NEW YORK, NY
Past
May 11, 2006 - July 12, 2007
FAMILY MANAGEMENT SECURITIES, LLC
BD
CRD#: 44319
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
California(3/29/2023)
RR
Connecticut(3/31/2023)
IAR
Connecticut(4/4/2023)
RR
Florida(3/29/2023)
RR
Massachusetts(3/29/2023)
RR
Mississippi(3/29/2023)
RR
New Jersey(3/29/2023)
RR
New York(3/29/2023)
IAR
New York(1/2/2024)
IAR
Texas(1/3/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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.
