KN
Kipp L. Newman
CETERA INVESTMENT ADVISERS LLC
LAWRENCEBURG, IN 47025
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CRD#: 1311725
KN
Professional summary
Kipp Lee Newman, ChFC® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lawrenceburg, Indiana and CETERA WEALTH SERVICES, LLC located in Lawrenceburg, Indiana.
Kipp is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Kipp has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.)INDEPENDENT INSURANCE AGENT- DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE FOR 20HRS/WK SINCE 1984 2.)NAME OF OTHER BUSINESS: KRAMER AND NEWMAN, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: PROPERTY MANAGEMENT; START DATE: 2005; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PROPERTY MANAGEMENT; 3.) BOARD MEMBER OF LAWRENCEBURG CITY BOND BANK LAWRENCEBURG IN FOR 1HR/WK SINCE 2000 4. NAME OF OTHER BUSINESS: LAWRENCEBURG HIGH SCHOOL BUILDING CORPORATION INVESTMENT RELATED: NO ADDRESS: 300 TIGER BLVD, LAWRENCEBURG, IN 47025 NATURE OF BUSINESS: SCHOOL BUILDING CORPORATION START DATE: 2/14 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 1 HOUR, NONE DURING TRADING HOURS: BRIEF DESCRIPTION OF DUTIES: REVIEW & APPROVE PLANS & CONTRACTS FOR NEW HIGH SCHOOL GYM. 5.NAME OF OTHER BUSINESS: DBA PINNACLE ADVISORY GROUP INC. OF INDIANA INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: SECURITIES START DATE: 1/1996 POSITION/TITLE/RELATIONSHIP: REGISTERED REP & IAR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: SECURITIES BUSINESS 6. NAME OF OTHER BUSINESS: NEWMAN AND KRAMER, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: PROPERTY MANAGEMENT; START DATE: 4/2005; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PROPERTY MANAGEMENT; 7. NAME OF OTHER BUSINESS: LIQUID LIFE; INVESTMENT RELATED: NO ADDRESS: 23972 PERDIDO BEACH BLVD, ORANGE BEACH, AL 36561; NATURE OF BUSINESS: PERSONAL CONDO RENTAL; START DATE: 10/2008; POSITION/TITLE/RELATIONSHIP: CONDO OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: RENTAL AGENCY USED TO COLLECT RENT FOR UNIT AND MARKETING;
CRS (Client Relationship Summary) - RIA
Click below to view Kipp Lee Newman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 131 E High St, Lawrenceburg, IN 47025RIA
CRD#: 105644
LAWRENCEBURG, IN
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 131 E High St, Lawrenceburg, IN 47025BD
CRD#: 13572
Lawrenceburg, IN
Past
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
June 1, 2004 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
LAWRENCEBURG, IN
Past
June 1, 2004 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
LAWRENCEBURG, IN
Past
March 7, 2003 - June 11, 2004
MAIN STREET MANAGEMENT COMPANY
RIA
CRD#: 547
LAWRENCEBURG, IN
Past
February 14, 2003 - June 11, 2004
MAIN STREET MANAGEMENT COMPANY
BD
CRD#: 547
BOSTON, MA
Past
October 17, 2001 - March 31, 2004
WS GRIFFITH SECURITIES, INC.
RIA
CRD#: 10410
LAWRENCEBURG, IN
Past
June 7, 1993 - February 25, 2003
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
December 27, 1984 - June 7, 1993
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(9/3/2013)
RR
Illinois(9/3/2013)
RR
Indiana(9/3/2013)
IAR
Indiana(6/29/2023)
RR
Kentucky(9/3/2013)
RR
Ohio(9/3/2013)
RR
Wisconsin(9/3/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Lawrenceburg, IN 47025TRUST BUT VERIFY
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