Rene J. 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.
Rene Javier Newman, who also goes by Rene Newman, was a registered financial professional .
Rene is a previously registered financial professional and started their career in finance in 1988. Rene had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2017 - January 10, 2018
M. S. HOWELLS & CO.
October 13, 2017 - September 10, 2021
MAQRO ADVISORS LLC
October 14, 2011 - October 24, 2017
UBS FINANCIAL SERVICES INC.
October 14, 2011 - October 24, 2017
UBS FINANCIAL SERVICES INC.
June 1, 2009 - November 4, 2011
MORGAN STANLEY
June 1, 2009 - November 4, 2011
MORGAN STANLEY
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 11, 1999 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
November 11, 1999 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
July 12, 1996 - November 11, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 16, 1995 - July 3, 1996
IFMG SECURITIES, INC.
March 10, 1993 - March 13, 1995
METROPOLITAN LIFE INSURANCE COMPANY
March 10, 1993 - March 13, 1995
MSI FINANCIAL SERVICES, INC.
October 18, 1988 - February 2, 1993
NYLIFE SECURITIES 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
Current Firm
M. S. HOWELLS & CO.
CRD#: 104100 / SEC#: , 8-52558
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARK HOWELLS TRUST, DATED 6/25/1997, MARK HOWELLS TRUSTEE | OWNER | |
| SANTAMARIA, KATRINA PATRICIA | CHIEF EXECUTIVE OFFICER | 3248779 |
| CRITES, MARCY ANN | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP) | 6346298 |
| HOWELLS, MARK STEPHEN | TRUSTEE FOR MARK HOWELLS TRUST DATED 6/25/1997 | 726921 |
| HOWELLS, MARK STEPHEN | EXECUTIVE CHAIRMAN/DIRECTOR | 726921 |
| JORDAN, CHRISTOPHER SHANE | CHIEF COMPLIANCE OFFICER | 2843281 |
| KREIZENBECK, TARA LYNN | CHIEF OPERATING OFFICER | 7141895 |
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.
