Stephen R. 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.
Stephen Rockwell Newman, who also goes by Stephen R Newman, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1992. Stephen had worked at 11 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
May 25, 2018 - September 19, 2023
THIRD SEVEN CAPITAL LLC
December 12, 2013 - December 31, 2017
WAVECREST SECURITIES LLC
September 9, 2011 - March 15, 2013
MATRIX CAPITAL GROUP, INC.
November 10, 2010 - May 1, 2012
ATM
October 1, 2008 - December 31, 2008
DINOSAUR FINANCIAL GROUP, L.L.C
February 1, 2006 - October 19, 2006
HAPOALIM SECURITIES USA, INC.
February 17, 2004 - May 12, 2005
RODMAN & RENSHAW, LLC
September 30, 2002 - February 6, 2004
LEERINK PARTNERS LLC
March 1, 2002 - April 22, 2002
ABN AMRO INCORPORATED
April 30, 2001 - March 1, 2002
ABN AMRO SECURITIES LLC
September 9, 1999 - April 30, 2001
ABN AMRO INCORPORATED
May 19, 1992 - September 30, 1999
SCHRODER & CO. INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THIRD SEVEN CAPITAL LLC
CRD#: 160209 / SEC#: , 8-69032
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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