Niva WealthLet’s talk

Joseph Banco

Chief Financial Officer and Treasurer at Newedge Advisors

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Joseph Banco is Chief Financial Officer and Treasurer of Newedge Advisors, LLC, a New Orleans investment adviser managing $43.2B. Joseph Banco has a current broker registration and no current investment-adviser registration and has passed the Series 27, Series 99TO and SIE.

Role at Newedge Advisors

Title on Schedule A
Chief Financial Officer and Treasurer
Control
Joseph Banco is a control person of Newedge Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
Joseph Banco has held the filed role since November 2021.

The firm

Newedge Advisors, LLC
New Orleans, LA

Form ADV filed 1 October 2026

$43.2B AUM49,898 clients515 advisers234 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO and SIE · 2023
  2. Passed Series 27 · 1997

Registrations and exams

Broker registration; no current adviser registration. Joseph Banco has passed 3 qualifying exams.

Examinations

Series 274 March 1997
Name
Financial and Operations Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE2 January 2023
Name
Securities Industry Essentials Examination

Individual record

Full name
Joseph Franklin Banco
CRD
2850198
Firm
Newedge Advisors, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Joseph Banco work?

Joseph Banco has been Chief Financial Officer and Treasurer of Newedge Advisors, LLC since November 2021, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 1 October 2026

Does Joseph Banco have a current investment-adviser registration?

Joseph Banco has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Joseph Banco passed?

Joseph Banco has passed 3 licensing exams: the Series 27, Series 99TO and SIE. The earliest, the Series 27, was passed in March 1997.

Source: IAPD individual record, checked 17 October 2026

Leadership at Newedge Advisors

  • Alexander Goss
    Chief Executive Officer/Founder
  • Justin Schoepf
    Vice President of Operations
  • Kyle Smith
    Vice President
  • William Brand
    Chief Compliance Officer
  • Jeffrey Cutler
    Chief Experience Officer
  • Jennifer DeLoach
    Deputy Compliance Officer
  • Erin Sarver-Corbett
    Chief Operations Officer, Managing Director
  • David Schnier
    General Counsel and Secretary
  • David Symecko
    Managing Director, Business Development
  • Neil Turner
    Partner/Founder/Co-CEO

Sources

  1. IAPD individual record, CRD 2850198. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Newedge Advisors, LLC, filed 1 October 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Joseph Banco or Newedge Advisors, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.