Carl Joseph Cuddy Ermelbauer

Employer firm

Newedge Advisors CRD 171351

$43.2B regulatory AUM 122 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Newedge Advisors

858 Camp Street, New Orleans, LA 70130 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2023-10-06
TX	RA	APPROVED	2023-10-06

CA RA
APPROVED

Since 2023-10-06
TX RA
APPROVED

Since 2023-10-06

Branch Locations

25101 The Old Road Suite 114, Stevenson Ranch, CA 91381 • United States

858 Camp Street, New Orleans, LA 70130 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Jpmorgan Chase Bank, N.A.	New York	NY	06/2016	08/2017
Jp Morgan Securities Llc	New York	NY	06/2016	08/2017
Central Strategies Llc	New York	NY	08/2017	01/2018
Ameriprise Financial Services, Inc.	New York	NY	01/2018	07/2018
Unemployed	Los Angeles	CA	08/2018	09/2018
Dfpg Investments, Inc.	Calabasas	CA	10/2018	12/2018
American Financial Network Advisory Services, Llc	Calabasas	CA	10/2018	11/2019
International Assets Advisory, Llc	Calabasas	CA	05/2019	11/2019
Wealthsource Partners, Llc	Santa Monica	CA	12/2019	02/2020
Wealthsource Partners, Llc	Woodland Hills	CA	03/2020	05/2023
Wealthsource Partners, Llc	Santa Clarita	CA	05/2023	10/2023
Newedge Advisors, Llc.	New Orleans	LA	10/2023	Present

06/2016 → 08/2017

Jpmorgan Chase Bank, N.A.

New York, NY
06/2016 → 08/2017

Jp Morgan Securities Llc

New York, NY
08/2017 → 01/2018

Central Strategies Llc

New York, NY
01/2018 → 07/2018

Ameriprise Financial Services, Inc.

New York, NY
08/2018 → 09/2018

Unemployed

Los Angeles, CA
10/2018 → 12/2018

Dfpg Investments, Inc.

Calabasas, CA
10/2018 → 11/2019

American Financial Network Advisory Services, Llc

Calabasas, CA
05/2019 → 11/2019

International Assets Advisory, Llc

Calabasas, CA
12/2019 → 02/2020

Wealthsource Partners, Llc

Santa Monica, CA
03/2020 → 05/2023

Wealthsource Partners, Llc

Woodland Hills, CA
05/2023 → 10/2023

Wealthsource Partners, Llc

Santa Clarita, CA
10/2023 → Present

Newedge Advisors, Llc.

New Orleans, LA

Previous Registrations

2019-12-17 → 2023-11-06

Wealthsource®

Woodland Hills, CA

Santa Monica, CA

Thousand Oaks, CA

Thousand Oaks, CA

Santa Clarita, CA
2018-10-10 → 2019-11-22

American Financial Network Advisory Services, Llc

Los Angeles, CA

Other Businesses

CARL JOSEPH CUDDY ERMELBAUER; INVESTMENT RELATED BUSINESS; PRIVATE RESIDENCE, SANTA CLARITA, CA; INSURANCE SALES; INSURANCE AGENT; OCTOBER 27, 2021 START DATE; 10 HOURS/MONTH DEVOTED TO INSURANCE SALES; 10 HOURS/MONTH DEVOTED TO INSURANCE SALES DURING SECURITIES TRADING HOURS; INSURANCE SALES DUTIES. NewEdge Advisors, LLC.; Start: 10/2023; DBA Financial North Partners; Managing Partner and Owner; Investment Related; Investment Advisor Representative; at reported business location.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2019-06-20
S63	Uniform Securities Agent State Law Examination	2016-07-13

S65 Uniform Investment Adviser Law Examination

2019-06-20
S63 Uniform Securities Agent State Law Examination

2016-07-13

Designations

Certified Financial Planner

Other Names

Carl J C Ermelbauer
Carl Joseph Ermelbauer
Carl J Ermelbauer
Carl Ermelbauer
Carl Ermelbauer

View on SEC IAPD