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William Brand

Chief Compliance Officer at Newedge Advisors

Investment adviser registrationLawrenceville, GASEC record checked 17 October 2026

16
Years in the industry
4
Years at the firm
2
Adviser firms
1
State registrations

IAPD record retrieved 17 October 2026SEC record

William Brand is Chief Compliance Officer of Newedge Advisors, LLC, a New Orleans investment adviser managing $43.2B. William Brand has been registered through Newedge Advisors since 24 May 2022, has 16 years in the industry across 2 firms and has passed 7 licensing exams.

Role at Newedge Advisors

Title on Schedule A
Chief Compliance Officer
Control
William Brand is a control person of Newedge Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
William Brand has held the filed role since April 2022.

The firm

Newedge Advisors, LLC
New Orleans, LA

Form ADV filed 1 October 2026

$43.2B AUM49,898 clients515 advisers234 offices

Career on record

William Brand has been registered through Newedge Advisors since May 2022, and before that through Triad Advisors, LLC.

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Newedge AdvisorsCurrent
    – present · 4 years
    Lawrenceville, GA · Adviser representative · Firm CRD 171351
  3. Triad Advisors, LLC
    – · under a year
    Atlanta, GA · Adviser representative · Firm CRD 25803
  4. Passed Series 66 · 2022
  5. Passed SIE · 2018
  6. Passed Series 7 and Series 24 · 2010
  7. Passed Series 6 and Series 63 · 2001

Registrations and exams

William Brand has a current investment-adviser registration in Georgia and has passed 7 qualifying exams.

Georgia24 May 2022
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6628 February 2022
Name
Uniform Combined State Law Examination
Series 6313 September 2001
Name
Uniform Securities Agent State Law Examination
Series 248 October 2010
Name
General Securities Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 720 July 2010
Name
General Securities Representative Examination
Series 630 August 2001
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
William Carl Brand
CRD
4441531
Firm
Newedge Advisors, LLC
Registration status
Investment adviser registration
Office
Lawrenceville, GA
Firm bio
newedgeadvisors.com

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

Background

NewEdge describes Will Brand’s Chief Compliance Officer role and responsibility for the firm’s regulatory compliance program. NewEdge Advisors official team biography

Education

Common questions

Where does William Brand work?

William Brand has been Chief Compliance Officer of Newedge Advisors, LLC since April 2022, and is a control person of the firm.

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

Is William Brand a financial advisor?

Yes. William Brand has a current investment-adviser registration in Georgia, through Newedge Advisors since May 2022, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does William Brand have?

William Brand has worked in the financial industry for 16 years as of 17 October 2026, counted from 28 January 2010, across 2 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has William Brand passed?

William Brand has passed 7 licensing exams: the Series 6, Series 63, Series 7, Series 24, SIE, Series 66 and Series 99TO. The earliest, the Series 6, was passed in August 2001.

Source: IAPD individual record, checked 17 October 2026

Where did William Brand work before Newedge Advisors?

Before Newedge Advisors, William Brand was registered through Triad Advisors, LLC, March 2022 to April 2022.

Source: IAPD individual record, checked 17 October 2026

Where is William Brand based?

William Brand’s registered office is in Lawrenceville, GA.

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
  • Joseph Banco
    Chief Financial Officer and Treasurer
  • 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 4441531. 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.
  3. Newedge Advisors team page. Biography, education, credentials, awards.

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 William Brand or Newedge Advisors, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.