Jay W. Newnum
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.
Jay W Newnum, who also goes by Jay Newnum, was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1990. Jay had worked at 14 firms and has passed the Series 63, SIE 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
September 13, 2013 - December 24, 2020
DELAWARE DISTRIBUTORS, L.P.
June 6, 2007 - August 28, 2013
AMERICAN CENTURY INVESTMENT SERVICES INC.
January 1, 2007 - June 4, 2007
RIVERSOURCE DISTRIBUTORS, INC.
June 15, 2004 - December 31, 2006
IDS LIFE INSURANCE COMPANY
June 15, 2004 - January 1, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
January 28, 2002 - March 17, 2004
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
February 22, 2000 - February 7, 2002
HIMCO DISTRIBUTION SERVICES COMPANY
May 11, 1998 - January 25, 2000
PRINCIPAL SECURITIES, INC.
July 7, 1997 - May 6, 1998
NYLIFE SECURITIES LLC
March 1, 1995 - April 15, 1997
NATCITY INSURANCE SERVICES, INC.
June 28, 1993 - February 27, 1995
BANC ONE SECURITIES CORPORATION
May 21, 1992 - June 3, 1993
NATIONAL CITY INVESTMENTS CORPORATION
April 30, 1990 - June 1, 1993
NATCITY INVESTMENTS, INC.
January 1, 1990 - March 28, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Current Firm
DELAWARE DISTRIBUTORS, L.P.
CRD#: 14232 / SEC#: , 8-29755
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELAWARE INVESTMENTS DISTRIBUTION PARTNERS, INC. ("DIDP") | LIMITED PARTNER OF APPLICANT | |
| IVY DISTRIBUTORS, INC. | LIMITED PARTNER OF APPLICANT | |
| CONNOR, DAVID FORRESTER | DIRECTOR | 4243088 |
| DELAWARE CAPITAL MANAGEMENT, A SERIES OF MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST,("DCM") | LIMITED PARTNER OF APPLICANT | |
| DELAWARE DISTRIBUTORS, INC. ("DDI") | GENERAL PARTNER OF APPLICANT | |
| GARVEY, THOMAS F | CHIEF COMPLIANCE OFFICER | 2845051 |
| HOBAN, STEPHEN (NO MIDDLE NAME) | FINOP | 5089370 |
| HOBAN, STEPHEN (NO MIDDLE NAME) | VP/CHIEF FINANCIAL OFFICER | 5089370 |
| HUTCHINSON, MILISSA ANN | PRESIDENT | 5727922 |
| LYTLE, SHAWN KEITH | DIRECTOR | 5816747 |
| SALUS, RICHARD (NO MIDDLE NAME) | DIRECTOR | 2850592 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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