David M. 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.
David Marshal Newman, who also goes by Dave Newman, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1988. David had worked at 7 firms and has passed the Series 63, Series 7, Series 8 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
March 3, 2000 - October 31, 2000
SOUTHERN FINANCIAL GROUP, INC.
February 3, 2000 - March 2, 2000
SOUTHERN FINANCIAL GROUP, INC.
November 12, 1997 - May 1, 1998
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 29, 1993 - November 12, 1997
GRUNTAL & CO., L.L.C.
August 11, 1992 - November 5, 1993
AMERIPRISE ADVISOR SERVICES, INC.
April 12, 1991 - July 31, 1992
SENTRA SECURITIES CORPORATION
June 5, 1989 - January 3, 1991
MORGAN STANLEY DW INC.
August 23, 1988 - May 25, 1989
L.F. THOMPSON & COMPANY
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: 6/7/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SOUTHERN FINANCIAL GROUP, INC.
CRD#: 16714 / SEC#: , 8-34534
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ATLANTIC SECURITIES EXCHANGE, INC. | OWNERSHIP | |
| BANK, FRANK TOM | EXECUTIVE VICE PRESIDENT/MUNICIPAL PRINCIPAL | 500594 |
| COLLINS, CLELLAND DAVID JR | SECRETARY, EXC. VICE PRES. | 2331596 |
| MAURER, MARK HENRY | EXECUTIVE VICE PRESIDENT/OPERATIONS/DIRECTOR OF COMPLIANCE/ SROP/CROP | 1496683 |
| WOOTEN, RICHARD MCNAIR | CHAIRMAN/CFO, PRESIDENT/CEO |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 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.
