Michael Jones, CFP®

Michael Jones, CFP®

Mike serves as Senior Compliance Officer for NewEdge Advisors. He has over 30 years of experience in the financial services industry and currently holds his Series 4, 7, 9/10, 24, 53, 63, and 65 licenses. Additionally, Mike is a CERTIFIED FINANCIAL PLANNER®.   Mike...
Leslie Penka

Leslie Penka

As a Compliance Officer, Leslie is responsible for supervising our branch offices and working with our Chief Compliance Officer to provide oversight of our business. Leslie has worked for a variety of broker-dealers and RIA firms within the Kansas City metro area over...
Jessica Martin

Jessica Martin

As Compliance Officer, Jessica is responsible for coordinating annual and quarterly reporting, including quarterly transaction reports, annual holdings report, annual code of ethics attestation, conducting 206(4)-7 reviews, and creating exception reports when...
Heather Thompson

Heather Thompson

As a Compliance Analyst, Heather focuses on ensuring the firm is compliant with industry rules and regulations including data testing, system additions, licensing, and registration for transitions and monthly/quarterly reports. Prior to joining NewEdge Advisors,...
Will Brand, CRCP®

Will Brand, CRCP®

Will Brand, CRCP® joined NewEdge Advisors as the Chief Compliance Officer in 2022. As the CCO, along with the rest of the Compliance team, Will is responsible for designing, implementing, and executing the regulatory compliance program of NewEdge Advisors and to do so...