Richard Hollmann has been Executive Vice President of Newedge Wealth since January 2022, is not listed as a control person, but directly owns under 5% of the firm. Richard Hollmann holds a Bachelor of Business Administration in Finance from Hofstra University.
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.
Rick Hollmann is Managing Director and Head of Investment Solutions of NewEdge Wealth. He has nearly 25 years of experience in the finance industry. Before joining NewEdge Wealth, he was a Managing Director and Head of the Portfolio Advisory Group at UBS Financial Services, Inc. He has also held positions as Senior Vice President at Lehman Brothers and Vice President at Morgan Stanley.
Richard Hollmann’s longest registration was 12 years at UBS Financial Services Inc. (2008–2021). Before joining Newedge Wealth in 2021, Richard Hollmann was registered through UBS Financial Services Inc. and Lehman Brothers Inc.
- UBS Financial Services Inc.– · 12 yearsNew York, NY · Adviser representative · Firm CRD 8174
- Lehman Brothers Inc.– · 1 yearNew York, NY · Adviser representative · Firm CRD 7506
Professional designations
Listed by Newedge Wealth
- CFA® charterholder
Investment adviser representative registrations
Richard Hollmann is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from September 2021; the most recent is Texas, in January 2026.
- ConnecticutSince 8 September 2021
- TexasResidentSince 5 January 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 16 July 2007 |
| Series 24 | General Securities Principal Examination | 12 June 2007 |
| Series 7 | General Securities Representative Examination | 3 March 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 1 March 1993 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 20 February 1993 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Richard Lewis Hollmann
- CRD
- 2321706
- Firm
- Newedge Wealth · CRD 307771
- Role
- Executive Vice President
- Office
- 2200 ATLANTIC STREET, 2ND FLOOR, Stamford, CT 06902
- Registration
- Investment adviser and broker registrations
- In the industry since
- June 1993
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- newedgewealth.com
Where does Richard Hollmann work?
Richard Hollmann has been Executive Vice President of Newedge Wealth, LLC since January 2022.
Is Richard Hollmann a financial advisor?
Yes. Richard Hollmann has a current investment-adviser registration in Connecticut and Texas, through Newedge Wealth since September 2021.
How many years of experience does Richard Hollmann have?
Richard Hollmann has 33 years in the financial industry, since June 1993, across 3 adviser firms.
What exams has Richard Hollmann passed?
Richard Hollmann has passed 5 licensing exams: the Series 6, Series 63, Series 7, Series 24 and Series 66. The earliest, the Series 6, was passed in February 1993. FINRA credited Richard Hollmann with the SIE, which began in October 2018.
Where did Richard Hollmann work before Newedge Wealth?
Before Newedge Wealth, Richard Hollmann was registered through Lehman Brothers Inc., July 2007 to October 2008.
Where is Richard Hollmann based?
Richard Hollmann’s registered office is in Stamford, CT.
Is Richard Hollmann registered with FINRA?
Yes. Richard Hollmann has a current broker registration, under CRD 2321706.
Source: FINRA BrokerCheck
Is Richard Hollmann a CFA charterholder?
Newedge Wealth lists Richard Hollmann with the CFA credential (“CFA® charterholder”) on its website. CFA Institute confirms certification status.
How can I verify Richard Hollmann’s record?
Search CRD 2321706 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Richard Hollmann’s full registration record.
Robert SechanChief Executive Officer- Kyle SmithExecutive Vice President
John StrausPresident- Nicole EarlyChief Compliance Officer
- Joseph BancoCFO and Treasurer
- David SchnierGeneral Counsel and Secretary