Thomas Newton
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.
Thomas Newton, who also goes by Thomas Kavanaugh Newton, Tom Newton, Thomas K Newton, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1990. Thomas had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Biography
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
James Madison University
BBA - Management
1989
Experience
March 31, 2025 - July 14, 2026
STRATEGIC ADVISERS LLC
July 13, 2018 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
February 28, 2017 - July 13, 2018
STRATEGIC ADVISERS LLC
February 1, 2017 - July 14, 2026
FIDELITY BROKERAGE SERVICES LLC
February 4, 2015 - February 3, 2017
THOMPSON DAVIS & CO., INC.
November 19, 2013 - September 2, 2014
LPL FINANCIAL LLC
February 1, 2002 - April 12, 2013
DAVENPORT & COMPANY LLC
November 2, 2001 - February 6, 2002
SCOTT & STRINGFELLOW, LLC
March 28, 2001 - November 9, 2001
TUCKER ANTHONY INCORPORATED
April 17, 2000 - March 28, 2001
BRANCH, CABELL & CO., INC.
October 1, 1999 - May 12, 2000
WELLS FARGO CLEARING SERVICES, LLC
February 23, 1993 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
April 30, 1990 - February 25, 1993
BRANCH, CABELL & CO., INC.
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
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: 2/28/2000
Limited Representative-Equity Trader ExamCurrent Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
