Adam K. 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.
Adam Keith Newman was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1989. Adam had worked at 12 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2007 - November 2, 2015
ADVISORS ASSET MANAGEMENT, INC.
May 22, 2007 - September 12, 2007
TMC BONDS L.L.C.
October 29, 2004 - June 19, 2006
BANC OF AMERICA SECURITIES LLC
October 20, 2004 - November 1, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 25, 2004 - October 20, 2004
QUICK & REILLY, INC.
April 28, 2003 - June 9, 2003
LADENBURG THALMANN & CO. INC.
November 26, 2002 - March 26, 2003
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
October 5, 1998 - October 30, 2002
ADVEST, INC.
July 10, 1995 - September 4, 1997
BONDNET BROKERAGE, INCORPORATED
February 4, 1992 - December 21, 1994
CITIGROUP GLOBAL MARKETS INC.
July 31, 1991 - December 19, 1991
CITICORP INVESTMENT SERVICES
April 3, 1989 - May 6, 1991
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
Primary Firm SEC Registration
ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
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 55
Date: 7/31/2008
Limited Representative-Equity Trader ExamCurrent Firm
ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AAM HOLDINGS, INC | SHAREHOLDER | |
| CORSO, CLIFFORD DEAN | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR | 2477519 |
| DANIEL, BART PATRICK | CHIEF TECHNOLOGY OFFICER/DIRECTOR | 4263841 |
| FERONE, MARILEE | EXEC. VP | 1450526 |
| GENOVESE, CHRISTOPHER THOMAS | EXEC. VP/DIRECTOR | 2255451 |
| GILBERT, BRIAN WAYNE | SR. VP | 1857325 |
| LLOYD, MATTHEW WILLIAM | CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR | 2460808 |
| MEITZNER, ALEX ROBERT | SR. VP | 1964373 |
| OPIE, JEFFREY KURTIS | EXEC. VP, CHIEF FINANCIAL OFFICER | 5763807 |
| SICKLES, CHARLES EDWARD | EXEC. VP | 2097390 |
| STEWART, RICHARD ALAN | EXEC. VP | 1653343 |
| STOKLOSA, TIMOTHY JOHN | EXEC. VP, CHIEF OPERATING OFFICER | 4897959 |
| WEBBER, JOHN EDWIN | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY | 5169415 |
Regulatory assets under management
| Total Number of Accounts | 1,591 |
| AUM (Assets Under Management) | $ 1,958,198,460 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
