Joseph C. Newtz
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.
Joseph Clem Newtz, who also goes by Joe Newtz, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1989. Joseph had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 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
January 4, 2018 - April 24, 2018
UNITED ADVISORS AMERICA
October 1, 2015 - September 7, 2016
ABSOLUTE CAPITAL MANAGEMENT, LLC
September 26, 2014 - January 23, 2015
OSAIC SERVICES, INC.
September 24, 2014 - January 23, 2015
OSAIC SERVICES, INC.
March 4, 2009 - November 5, 2012
THE HUNTINGTON INVESTMENT COMPANY
March 3, 2009 - November 5, 2012
THE HUNTINGTON INVESTMENT COMPANY
July 2, 2007 - December 12, 2008
WOODBURY FINANCIAL SERVICES, INC.
March 16, 2005 - July 24, 2007
VOYA FINANCIAL PARTNERS, LLC
July 29, 2004 - August 23, 2004
VOYA FINANCIAL PARTNERS, LLC
July 29, 2004 - July 24, 2007
VOYA FINANCIAL PARTNERS, LLC
November 24, 2003 - August 4, 2004
GUNNALLEN FINANCIAL, INC
November 24, 2003 - August 4, 2004
GUNNALLEN FINANCIAL, INC
July 24, 2002 - November 25, 2003
VERAVEST INVESTMENT ADVISORS, INC.
July 15, 2002 - November 25, 2003
VERAVEST INVESTMENTS, INC.
January 20, 1998 - July 2, 2002
SECURITIES AMERICA ADVISORS, INC.
November 1, 1996 - July 2, 2002
SECURITIES AMERICA, INC.
November 18, 1994 - November 19, 1996
WALNUT STREET SECURITIES, INC.
July 13, 1989 - November 18, 1994
METROPOLITAN LIFE INSURANCE COMPANY
July 13, 1989 - November 18, 1994
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
UNITED ADVISORS AMERICA
CRD#: 147350 / SEC#: 801-114134
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
UNITED ADVISORS AMERICA
CRD#: 147350 / SEC#: 801-114134
Contact information
SEC notice filing (27 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,625 |
| AUM (Assets Under Management) | $ 353,695,420 |
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.
