MD
Monica M. Dougherty
NEW EDGE WEALTH
Allentown, PA 18104
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CRD#: 7287969
MD
Professional summary
Monica Marie Dougherty is a registered financial advisor currently at NEW EDGE WEALTH located in Allentown, Pennsylvania and NEWEDGE SECURITIES, LLC located in Allentown, Pennsylvania.
Monica is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Monica has worked at 3 firms and has passed the Series 66, Series 7TO and SIE 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. CorePower Yoga*No Invest*8/1/24*Philadelphia PA*Yoga studio*Studio Experience Team Member*Assists in checking in yoga members to classes and cleaning studio*4 Hrs trade/0 non trade
CRS (Client Relationship Summary) - RIA
Click below to view Monica Marie Dougherty'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®
NoneExperience
Current
August 16, 2024 - Present
NEW EDGE WEALTH
Office #1: 4905 W. Tilghman St., Suite 318, Allentown, PA 18104RIA
CRD#: 307771
Allentown, PA
Current
August 16, 2024 - Present
NEWEDGE SECURITIES, LLC
Office #1: 4905 W. Tilghman St., Suite 250, Allentown, PA 18104BD
CRD#: 10674
Allentown, PA
Past
November 23, 2020 - August 22, 2024
MORGAN STANLEY
RIA
CRD#: 149777
Allentown, PA
Past
October 21, 2020 - August 22, 2024
MORGAN STANLEY
BD
CRD#: 149777
Allentown, PA
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
Arizona(8/16/2024)
RR
California(8/16/2024)
RR
Connecticut(8/16/2024)
RR
Delaware(8/16/2024)
RR
Florida(8/16/2024)
RR
Hawaii(8/16/2024)
RR
Illinois(8/16/2024)
RR
Maine(8/16/2024)
RR
Maryland(8/16/2024)
RR
Massachusetts(8/16/2024)
RR
Michigan(8/16/2024)
RR
Nevada(8/16/2024)
RR
New Jersey(8/16/2024)
RR
New Mexico(8/16/2024)
RR
New York(8/16/2024)
RR
Ohio(8/16/2024)
RR
Oregon(8/16/2024)
RR
Pennsylvania(8/16/2024)
IAR
Pennsylvania(8/16/2024)
RR
Rhode Island(8/16/2024)
RR
South Carolina(8/16/2024)
IAR
Texas(1/2/2025)
RR
Vermont(8/16/2024)
RR
Virginia(8/16/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/21/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
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 | 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NEW EDGE WEALTH
CRD#: 307771Allentown, PA 18104TRUST BUT VERIFY
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