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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

JAMES KEVIN PHENEY

Advisor at NEWEDGE ADVISORS

Brenham, TX | NEW ORLEANS, LA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 28, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NEWEDGE ADVISORS
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 11, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63
First exam: May 11, 1992
First registration: Jun 28, 2002
Dual registered: yes, broker-dealer
Other names: JIM PHENEY
IAPD individual key: 1272932

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NEWEDGE ADVISORS	Bd affiliated wealth	Nov 1, 2021	n/a	yes	Brenham, TX\|NEW ORLEANS, LA	Current employment
MID ATLANTIC FINANCIAL MANAGEMENT, INC.	Former SEC adviser	Aug 1, 2017	Nov 1, 2021	no	CASTLE ROCK, CO\|BRENHAM, TX\|PITTSBURGH, PA\|FRANKTOWN, CO	Previous registration
WFG ADVISORS, LP	Former SEC adviser	Jan 3, 2005	Aug 2, 2017	no	CASTLE ROCK, CO\|CASTLE ROCK, CO\|CASTLE ROCK, CO	Previous registration
PRO-INTEGRITY SECURITIES, INC.	n/a	Jun 28, 2002	Dec 31, 2004	no	CASTLE ROCK, CO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MID ATLANTIC FINANCIAL MANAGEMENT, INC.	NEWEDGE ADVISORS	Nov 1, 2021	Nov 1, 2021	0	Bulk transfer	Ibd to ibd
WFG ADVISORS, LP	MID ATLANTIC FINANCIAL MANAGEMENT, INC.	Aug 2, 2017	Aug 1, 2017	-1	Firm change	Other
PRO-INTEGRITY SECURITIES, INC.	WFG ADVISORS, LP	Dec 31, 2004	Jan 3, 2005	3	Firm change	Other

Relationships

Registered with (4)

→ NEWEDGE ADVISORSRegistered adviserregistration: current employment
Nov 1, 2021 to presentfactForm ADV
→ MID ATLANTIC FINANCIAL MANAGEMENT, INC.Registered adviserregistration: previous registration
Aug 1, 2017 to Nov 1, 2021factForm ADV
→ WFG ADVISORS, LPRegistered adviserregistration: previous registration
Jan 3, 2005 to Aug 2, 2017factForm ADV
→ PRO-INTEGRITY SECURITIES, INC.Registered adviserregistration: previous registration
Jun 28, 2002 to Dec 31, 2004factForm ADV

Dated events

No dated event names this entity yet.