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SW

Shannon M. Willems

NEW EDGE WEALTH
Houston, TX 77010
Some features on this profile are disabled
CRD#: 5320150
SW
Shannon Michael WillemsNEW EDGE WEALTH

Professional summary

Shannon Michael Willems, who also goes by Shannon Willems, is a registered financial advisor currently at NEW EDGE WEALTH located in Houston, Texas and NEWEDGE SECURITIES, LLC located in Houston, Texas.

Shannon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Shannon has worked at 6 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 6 and Series 26 exams.

Aliases

Shannon Willems

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) - RIA

Click below to view Shannon Michael Willems'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

August 17, 2026 - Present

NEW EDGE WEALTH

Office #1: 1301 Mckinney St, Suite 300, Houston, TX 77010
RIA
CRD#: 307771
Houston, TX
Current

August 17, 2026 - Present

NEWEDGE SECURITIES, LLC

Office #1: 1301 Mckinney St, Suite 300, Houston, TX 77010
BD
CRD#: 10674
Houston, TX
Past

February 17, 2015 - August 28, 2026

ALLIANCEBERNSTEIN L.P.

RIA
CRD#: 108477
HOUSTON, TX
Past

January 27, 2015 - August 28, 2026

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
HOUSTON, TX
Past

May 14, 2009 - May 20, 2010

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
ENFIELD, CT
Past

October 19, 2007 - May 20, 2010

MML DISTRIBUTORS, LLC

BD
CRD#: 38030
ENFIELD, CT

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 | NEWEDGE FAMILY OFFICE | 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
(8/17/2026)
RR
Arkansas
(8/17/2026)
RR
California
(8/17/2026)
RR
Colorado
(8/17/2026)
RR
Florida
(8/17/2026)
RR
Illinois
(8/17/2026)
RR
Kansas
(8/17/2026)
RR
Louisiana
(8/17/2026)
RR
Maryland
(8/17/2026)
RR
Massachusetts
(8/17/2026)
RR
Mississippi
(8/17/2026)
RR
Missouri
(8/17/2026)
RR
New Mexico
(8/17/2026)
RR
North Carolina
(8/17/2026)
RR
Ohio
(8/17/2026)
RR
Oklahoma
(8/17/2026)
RR
Oregon
(8/17/2026)
RR
Pennsylvania
(8/17/2026)
RR
South Carolina
(8/17/2026)
RR
Tennessee
(8/17/2026)
RR
Texas
(8/17/2026)
IAR
Texas
(8/17/2026)
RR
Washington
(8/17/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/13/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 2/20/2015
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/27/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/18/2007
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/19/2007
Investment Company Products/Variable Contracts Principal Examination
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 | NEWEDGE FAMILY OFFICE | 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)
Loading...

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 (11/14/2025)
NEWEDGE WEALTH FORM ADV PART 2A FIRM BROCHURE (11/14/2025)

Regulatory assets under management

Total Number of Accounts14,680
AUM (Assets Under Management)$ 12,064,984,416

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/19/2025
Cover Page
Report
01/27/2025
Cover Page
Report
12/22/2023
Cover Page
Report
01/27/2023
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.

Company Information

NEW EDGE WEALTH

CRD#: 307771Houston, TX 77010

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