Stephen J. Newell
Professional summary
Stephen J Newell, who also goes by Stephen John Newell, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Scottsdale, Arizona and CHARLES SCHWAB & CO., INC. located in Phoenix, Arizona.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Stephen has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen J Newell's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2012 - Present
SCHWAB WEALTH ADVISORY, INC.
January 22, 1998 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 2423 E Lincoln Dr, Phoenix, AZ 85016-1215January 9, 2022 - March 28, 2023
CHARLES SCHWAB & CO., INC.
December 8, 2006 - December 31, 2011
CHARLES SCHWAB & CO., INC.
February 1, 1994 - August 28, 1997
LPL FINANCIAL LLC
February 22, 1993 - January 26, 1994
KEY INVESTMENTS INC.
July 27, 1990 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
July 27, 1990 - March 19, 1993
MONY SECURITIES CORPORATION
September 1, 1988 - July 6, 1990
INVEST FINANCIAL CORPORATION
February 15, 1988 - September 23, 1988
LEHMAN BROTHERS INC.
November 4, 1986 - February 15, 1988
E. F. HUTTON & COMPANY INC
December 21, 1984 - October 10, 1986
FIRST JERSEY SECURITIES, INC.
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/3/2018)
(1/3/2018)
(1/22/1998)
(5/9/2012)
(1/3/2018)
(1/22/1998)
(1/3/2018)
(1/3/2018)
(1/3/2018)
(1/3/2018)
(4/10/2017)
(2/1/2012)
(1/3/2018)
(1/13/2012)
(1/3/2018)
(1/3/2018)
(1/3/2018)
(1/3/2018)
(1/3/2018)
(1/3/2018)
(1/3/2018)
(1/3/2018)
(4/4/2012)
(1/3/2018)
(1/3/2018)
(1/3/2018)
(1/31/2012)
(1/3/2018)
(1/3/2018)
(1/6/2003)
(1/3/2018)
(1/3/2018)
(1/22/1998)
(1/3/2018)
(1/7/2018)
(1/3/2018)
(1/3/2018)
(1/3/2018)
(2/12/2010)
(1/4/2016)
(1/3/2018)
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(1/3/2018)
(1/3/2018)
(1/22/1998)
(1/2/2020)
(1/3/2018)
(1/3/2018)
(1/3/2018)
(3/19/2014)
(5/2/2011)
(1/3/2018)
(1/3/2018)
(1/3/2018)
Exams
FINRA
Nasdaq Stock Market
Current Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
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.
