Stephen R. Newhouse
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen Robert Newhouse, who also goes by Steve Newhouse, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1984. Stephen had worked at 17 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2017 - September 25, 2018
MORGAN STANLEY
September 14, 2017 - September 25, 2018
MORGAN STANLEY
May 2, 2013 - November 3, 2015
IPI WEALTH MANAGEMENT, INC.
May 2, 2013 - November 3, 2015
INVESTMENT PLANNERS, INC.
December 5, 2011 - July 12, 2012
BEST DIRECT SECURITIES, LLC
March 21, 2011 - August 17, 2011
CAPITOL SECURITIES MANAGEMENT, INC.
March 18, 2011 - August 17, 2011
CAPITOL SECURITIES MANAGEMENT, INC.
January 9, 2007 - November 4, 2008
GUGGENHEIM INVESTMENTS
June 5, 2006 - July 20, 2010
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
October 5, 2005 - June 7, 2006
PFS INVESTMENTS INC.
May 14, 2002 - September 17, 2004
TOWER SQUARE SECURITIES, INC.
March 22, 1999 - June 2, 2000
CAPITAL BROKERAGE CORPORATION
March 13, 1995 - December 2, 1997
HIMCO DISTRIBUTION SERVICES COMPANY
January 12, 1993 - December 31, 1994
AMERICAN CAPITAL MARKETING, INC.
October 16, 1991 - February 3, 1993
LEHMAN BROTHERS INC.
May 17, 1991 - January 29, 1993
FUNDS DISTRIBUTOR, LLC
February 18, 1988 - April 8, 1991
BNY MELLON SECURITIES CORPORATION
August 13, 1985 - October 30, 1987
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
September 26, 1984 - June 26, 1985
ELWYN, WILLBERT & HAIG INC.
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
