David R. Newstat
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.
David R Newstat, who also goes by David R. Newstat, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2018 - May 22, 2018
TD AMERITRADE, INC.
February 26, 2018 - May 22, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - May 22, 2018
TD AMERITRADE, INC.
June 13, 2016 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
January 8, 2007 - February 26, 2018
SCOTTRADE, INC.
July 10, 2006 - January 5, 2007
TD AMERITRADE, INC.
July 10, 2006 - January 5, 2007
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 10, 2006 - January 5, 2007
TD AMERITRADE, INC.
May 11, 1999 - May 1, 2006
CHARLES SCHWAB & CO., INC.
June 7, 1991 - May 1, 2006
CHARLES SCHWAB & CO., INC.
April 29, 1987 - April 15, 1989
PRUDENTIAL EQUITY GROUP, LLC
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
Series 8
Date: 8/4/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
