Jonathan D. Heines

NEW EDGE WEALTH

STAMFORD, CT 06902

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CRD#: 5271993

Professional summary

Jonathan David Heines, who also goes by Jonathan Heines, is a registered financial advisor currently at NEW EDGE WEALTH located in Stamford, Connecticut and NEWEDGE SECURITIES, LLC located in Stamford, Connecticut.

Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Jonathan has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jonathan Heines

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.

NEW EDGE WEALTH~INVESTMENT RELATED~DARIEN, CONNECTICUT~INVESTMENT ADVISOR REPRESENTATIVE~JUNE 2021~80HRS PER MONTH~80HRS PER MONTH DURING MARKET~FINANCIAL SERVICES TO HIGH NET WORTH INDIVIDUALS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan David Heines'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

June 16, 2021 - Present

NEW EDGE WEALTH

Office #1: 2200 Atlantic Street 2nd Floor, Stamford, CT 06902

RIA

CRD#: 307771

STAMFORD, CT

Current

June 15, 2021 - Present

NEWEDGE SECURITIES, LLC

Office #1: 2200 Atlantic Street 2nd Fl South, Stamford, CT 06902

CRD#: 10674

Stamford, CT

Past

May 22, 2017 - June 10, 2021

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

New York, NY

Past

April 30, 2016 - June 10, 2021

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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

Connecticut
(6/15/2021)

IAR

Connecticut
(6/16/2021)

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: 5/12/2017

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: 4/29/2016

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/5/2021

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 1/22/2018

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/29/2017

General Securities Sales Supervisor - Options Module 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)

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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)

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.

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Advisor Monitoring

Firm Stability Insights

Jonathan D. Heines

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan David Heines's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEWEDGE SECURITIES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

NEW EDGE WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 5/12/2017

SIE

Date: 10/1/2018

Series 7

Date: 4/29/2016

Series 24

Date: 4/5/2021

Series 10

Date: 1/22/2018

Series 9

Date: 8/29/2017

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

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