Kae A. Ewing
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.
Kae Alfred Ewing was a registered financial professional .
Kae is a previously registered financial professional and started their career in finance in 1961. Kae had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 15, PC, Series 1 and Series 000 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2013 - September 1, 2016
NEWPORT COAST SECURITIES, INC.
February 27, 2001 - September 24, 2013
WEDBUSH SECURITIES INC.
August 11, 1997 - February 13, 2001
ROTH CAPITAL PARTNERS, LLC
April 8, 1994 - July 17, 1997
MORGAN STANLEY DW INC.
July 31, 1993 - April 12, 1994
CITIGROUP GLOBAL MARKETS INC.
July 18, 1983 - July 31, 1993
LEHMAN BROTHERS INC.
May 26, 1981 - July 1, 1983
EWING, CREATH & BROWN SECURITIES, INC.
November 19, 1979 - June 8, 1983
CASEY FOSS SECURITIES CORPORATION
November 22, 1977 - November 21, 1979
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
November 8, 1974 - November 17, 1976
SHEARSON HAYDEN STONE INC.
April 17, 1974 - November 8, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
March 16, 1961 - May 29, 1974
DUPONT WALSTON, 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
Series 15
Date: 6/29/1984
Foreign Currency Options ExaminationPC
Date: 6/8/1977
AMEX Put and Call ExamSeries 1
Date: 3/16/1961
Registered Representative ExaminationSeries 000
Date: 2/27/1961
General Securities Principal ExaminationCurrent Firm
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
Red Flags
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