Christopher B. Newman
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.
Christopher Bradley Newman, who also goes by Chris Newman, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1987. Christopher had worked at 6 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2019 - July 15, 2024
ST INVEST LLC
February 15, 2013 - March 4, 2019
STOCKPILE INVESTMENTS, INC.
May 14, 2008 - July 31, 2012
ZECCO TRADING, INC.
February 27, 1990 - December 5, 2006
USAA INVESTMENT SERVICES COMPANY
June 7, 1988 - November 8, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 5, 1987 - June 3, 1988
UNDERWOOD, NEUHAUS & CO., INCORPORATED
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 10/23/2001
Limited Representative-Equity Trader ExamCurrent Firm
ST INVEST LLC
CRD#: 297470 / SEC#: , 8-70135
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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