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ND

Nicole A. Davis

NEWEDGE SECURITIES
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 6038221
ND

Professional summary

Nicole Ann Early Davis, who also goes by Nicole Ann Early, is a registered financial professional currently at NEWEDGE SECURITIES, LLC located in Stamford, Connecticut.

Nicole is registered as a RR (Registered Representative) and started their career in finance in 2012. Nicole has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 3 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicole Ann Early

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 Nicole Ann Early Davis'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

February 9, 2024 - Present

NEWEDGE SECURITIES, LLC

Office #1: 2200 Atlantic Street 2nd Fl South, Stamford, CT 06902
BD
CRD#: 10674
Stamford, CT
Past

October 11, 2016 - December 1, 2017

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
HOUSTON, TX
Past

November 13, 2015 - October 11, 2016

LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC

BD
CRD#: 157625
CHICAGO, IL
Past

October 16, 2012 - October 21, 2015

GRV SECURITIES LLC

BD
CRD#: 138348
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Connecticut
(2/13/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 5/14/2014
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/17/2011
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/1/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 8/26/2011
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/3/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

NS
NEWEDGE SECURITIES, LLC
MID ATLANTIC CAPITAL CORPORATION | NEWEDGE SECURITIES, LLC | NEWEDGE SECURITIES, INC. | NEWEDGE SECURITIES LLC | MID ATLANTIC SECURITIES CORPORATION | MID ATLANTIC CAPITAL SECURITIES

CRD#: 10674 / SEC#: , 8-27663

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NEWEDGE CAPITAL GROUP, LLCSHAREHOLDER
BANCO, JOSEPH FRANKLIN JRPRINCIPAL FINANCIAL OFFICER AND CFO2850198
CHAFFEE, HAROLD GERARDCHIEF COMPLIANCE OFFICER2905661
FONG, SARAH FVICE PRESIDENT2937709
JENKINS, WILLIAM HENRYMANAGING DIRECTOR - SUPERVISION3004337
SCHNIER, DAVID JASONGENERAL COUNSEL AND SECRETARY5110928
SESLER, JEAN ANNPRINCIPAL OPERATIONS OFFICER1809578
SMITH, KYLE PETERPRESIDENT2142563

Disclosures

Regulatory Event9
Civil Event2
Arbitration3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

NEWEDGE SECURITIES, LLC

CRD#: 10674Stamford, CT 06902

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