Nicole Early has been Chief Compliance Officer of Newedge Wealth since February 2024, is a control person of the firm and directly owns under 5% of it.
Newedge Wealth, LLC is a Stamford, CT firm with $19.9B under management, 3,692 clients and 99 advisers across 19 offices, as of its April 2026 filing.
No adviser firm registrations are on Nicole Early’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 14 May 2014 |
| Series 24 | General Securities Principal Examination | 3 February 2014 |
| Series 7 | General Securities Representative Examination | 15 October 2012 |
| Series 3 | National Commodity Futures Examination | 26 August 2011 |
| Series 65 | Uniform Investment Adviser Law Examination | 17 June 2011 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- National Commodity Futures Examination
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Nicole Ann Early
- CRD
- 6038221
- Firm
- Newedge Wealth · CRD 307771
- Role
- Chief Compliance Officer
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Nicole Early work?
Nicole Early has been Chief Compliance Officer of Newedge Wealth, LLC since February 2024, and is a control person of the firm.
Does Nicole Early have a current investment-adviser registration?
Nicole Early has a current broker registration and no current investment-adviser registration.
What exams has Nicole Early passed?
Nicole Early has passed 5 licensing exams: the Series 65, Series 3, Series 7, Series 24 and Series 63. The earliest, the Series 65, was passed in June 2011. FINRA credited Nicole Early with the SIE, which began in October 2018.
Is Nicole Early registered with FINRA?
Yes. Nicole Early has a current broker registration, under CRD 6038221.
Source: FINRA BrokerCheck
How can I verify Nicole Early’s record?
Search CRD 6038221 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Nicole Early’s full registration record.
Robert SechanChief Executive Officer
Richard HollmannExecutive Vice President- Kyle SmithExecutive Vice President
John StrausPresident- Joseph BancoCFO and Treasurer
- David SchnierGeneral Counsel and Secretary