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Geraldine Shepard

Newedge Securities, Inc.

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About Geraldine Shepard

Geraldine Shepard is a financial professional with over 27 years of experience in the industry. Geraldine is currently registered with Newedge Securities, Inc. Geraldine has held prior roles with BNY Convergex Execution Solutions LLC, Lynch, Jones & Ryan, Inc., and BNY Brokerage Inc. Geraldine is registered as a Broker in 45 states. Geraldine holds the Series 63, Series 14, Series 24, Series 79TO, Series 57TO, Series 99TO, SIE, Series 55, and Series 7 licenses.

Firm Information

Geraldine Shepard is currently registered with Newedge Securities, Inc.. Newedge Securities, Inc. is a Corporation formed on December 14, 1981. The firm is registered with the SEC and in 53 states. Newedge Securities, Inc. has a history of disclosures including 7 Regulatory Events, 1 Civil Event, and 3 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

68

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Geraldine Shepard’s Registration & Firm History

NH

01/29/2007 - Present

Newedge Securities, Inc. (HAMPTON FALLS NH)

NY

01/04/2006 - 01/30/2007

BNY CONVERGEX EXECUTION SOLUTIONS LLC (NEW YORK NY)

NY

07/19/2005 - 01/04/2006

LYNCH, JONES & RYAN, INC. (NEW YORK NY)

NY

03/14/1996 - 11/09/2005

BNY BROKERAGE INC. (NEW YORK NY)

NY

01/17/1995 - 03/08/1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/02/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 14 - Compliance Officer Examination

BC

Issued 03/03/2000

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/22/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 01/16/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Geraldine Shepard.
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