Nicholas Cantone

NEWEDGE SECURITIES

Pittsburgh, PA 15222-4235

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CRD#: 5224830

Professional summary

Nicholas Cantone, who also goes by Nicholas Michael Cantone, Nicholas Cantone, is a registered financial professional currently at NEWEDGE SECURITIES, LLC located in Pittsburgh, Pennsylvania.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2006. Nicholas has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nicholas Michael Cantone | Nicholas Cantone

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 Nicholas Cantone'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

January 10, 2024 - Present

NEWEDGE SECURITIES, LLC

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

CRD#: 10674

Pittsburgh, PA

Past

September 21, 2017 - November 15, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

May 21, 2014 - June 27, 2017

LPL FINANCIAL LLC

CRD#: 6413

BOSTON, MA

Past

November 24, 2008 - May 10, 2013

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

April 8, 2008 - November 19, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

JERSEY CITY, NJ

Past

April 8, 2008 - November 19, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

JERSEY CITY, NJ

Past

October 13, 2006 - August 21, 2007

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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

Connecticut
(1/10/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 12/27/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/12/2006

General Securities Representative 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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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Nicholas Cantone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Cantone's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

LPL FINANCIAL LLC

GUARDIAN INVESTOR SERVICES LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/27/2006

SIE

Date: 10/1/2018

Series 7

Date: 10/12/2006

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

TRUST BUT VERIFY

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