David John Down

Current Employers

Employment History

• 10/1988 → Present
  Newedge Securities, Inc.
  Pittsburgh, PA
• 09/1997 → 12/2022
  Newedge Securities, Inc.
  Pittsburgh, PA
• 04/1994 → 11/2021
  Mid Atlantic Financial Management, Inc.
  Pittsburgh, PA
• 03/1997 → 11/2021
  Mid Atlantic Financial Management, Inc.
  Pittsburgh, PA
• 05/1999 → 12/2022
  Newedge Capital Group
  Pittsburgh, PA
• 03/1997 → Present
  Gua Uniontown Capital Corporation
  Pittsburgh, PA
• 11/2021 → 05/2023
  Newedge Advisors Llc
  New Orleans, LA
• 10/2020 → Present
  New Edge Wealth
  Stamford, CT
• 01/2016 → 12/2024
  Stonehaven Energy Consolidated Llc
  Pittsburgh, PA

Previous Registrations

• 2021-11-01 → 2023-05-11
  Newedge Advisors
  New Orleans, LA
  Pittsburg, PA
• 1994-08-24 → 2021-11-01
  Mid Atlantic Financial Management, Inc.
  Pittsburgh, PA
  Pittsburgh, PA

Other Businesses

1)STONEHAVEN CONSOLIDATED ENERGY,LLC~INVESTMENT RELATED~1251 WATERFRONT PLACE, SUITE 510, PITTSBURGH,PA 15222~ENERGY INVESTING,GENERAL PARTNER TO VARIOUS ENERGY DRILLING LPS~OFFICER-VP~AUGUST 2006~1HR PER MONTH~1HR PER MONTH DURING MARKET~EXECUTIVE 2)STONEHAVEN HOLDINGS,LLC*Ownership 50% (Chuck Warde owns other 50%). I serve as president, Chuck is passive. This is entity that we flow our NewEdge Wealth revenue/payout to. I spend approximately 15-30 hours per week on client activity that relates to this.*Yes Invest*30 Per mnth/120 DUring work hours*7/1/04 3)NewEdge Wealth, LLC, an IAR. Financial Advisorfor investment related business for ultra-high net worth individuals. 120 hours a month during trading hours.  Home office 2200 Atlantic Street, Stamford CT, 06902.Start Date: 10/28/2020 4)Boys Scouts of America - Laurel Highlands Council*On the local board of directors*No invest*2 Hr per mnth/ 0trade*8/7/23 Pittsburgh, PA 5)Down in St. Croix, LLC*Will only own property and have an NFS brokerage account with checking and possibly a local checking account to pay expenses*No Invest*2 Hours per mnth/0 Trade*8/1/23*Pittsburgh, PA 6)Stonehaven Capital Partners II, LLC*No ownership Family investment LLC for Chuck Warden's children, Chuck is Managing Member I am listed as an authorized officer to execute documents on behalf of LLC We hold accounts with NewEdge Securities No compensation*Yes Invest*1 Hr per Mnth/1 Trade*1/1/08 7)Stonehaven Capital Partners, LLC*Family investment LLC for Chuck Warden's children, Chuck is Managing Member I am listed as an authorized officer to execute documents on behalf of LLC We hold accounts with NewEdge Securities No compensation*Yes Invest*1 Per mnt/1 Trade*1/11/08 8)Oakledge, LLC*Entity is 35% owned by The Michael G. and Elizabeth Zamagias 2008 Family Deed of Trust (balance is owned equally be each of the 4 primary beneficiaries of the trust). I am Family Trustee for the above trust and Managing Member of this LLC This entity owns some closely held stock in a family company (TeleTracking Technologies) and holds a promissory note. We annually distribute cash accumulated in this LLC to the owners. We hold an account with NewEdge Securities No compensation*No Invest*1 Hr Trade/1 Trade*1/1/08 9)Poseidon Assurance, LLC*No ownership Entity is 100% owned by The Michael G. and Elizabeth Zamagias 2008 Family Deed of Trust I am Family Trustee for the above trust and Managing Member of this LLC It only owns life insurance policies on Michael and Elizabeth Zamagias. JP Morgan is custodial trustee and required an LLC to own the life insurance (trust would not directly own it). We pay annual premiums form assets in the trust. No conflicts, no compensation*No Invest*1 Hr Mnth/1Trade*1/1/08 10)STX Cotton Valley Realty LLC*No Invest*Executive Vice President*Pittsburgh, PA*Single member LLC owned jointly with my wife, Heather, to hold a residence in St Croix, USVI*President, Member*Just pay expenses and see that the home is maintained*7/32/26*0 Hr Trade/1 Non Trade

Exams

• S63 Uniform Securities Agent State Law Examination
  1992-09-02

Other Names

• Dave Down