Individual Firm
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ANDREW MADIGAN SINCLAIR
ANDREW CECIL PATEY, ANDREW SINCLAIR
CRD#: 3060302
IA
B
NEWEDGE ADVISORSCRD#: 171351 500 WEST PUTNAM AVE
SUITE 400
Greenwich, CT 06830
SUITE 400
Greenwich, CT 06830
NEWEDGE SECURITIES, LLCCRD#: 10674 500 WEST PUTNAM AVE
SUITE 400
GRENWICH, CT 06830
SUITE 400
GRENWICH, CT 06830
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11/28/2022
Judgment / Lien
5/26/2022
Financial
Final
10/26/2021
Financial
Final
State Registrations
B
Connecticut 3/3/2023
B
New Jersey 3/6/2023
IA
Connecticut 6/8/2023
B
New York 3/4/2023
SRO Registrations
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/8/2023
B
Registered with this firm since 3/3/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 08/07/2020 - 06/23/2021 | NEW YORK, NY | |
B | 04/05/2017 - 06/29/2020 | NEW YORK, NY | |
B | 05/05/2016 - 04/03/2017 | NEW YORK, NY | |
B | 09/17/2015 - 05/03/2016 | NEW YORK, NY | |
B | 12/18/2002 - 09/14/2015 | NEW YORK, NY | |
B | 11/27/2000 - 10/09/2002 | NEW YORK, NY | |
B | 06/29/1998 - 10/02/2000 | ATLANTA, GA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.