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RN

Robert C. Newton

Some features on this profile are disabled
CRD#: 2038692
RN

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.

Robert Clair Newton, ChFC®, CLU® was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1990. Robert had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
ChFC®

Chartered Financial Consultant

CLU®

Chartered Life Underwriter

Experience

Past

March 1, 2024 - December 19, 2025

MODERN WEALTH MANAGEMENT, LLC

RIA
CRD#: 324624
Rochester, NY
Past

September 18, 2018 - March 13, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
ROCHESTER, NY
Past

September 18, 2018 - March 13, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
ROCHESTER, NY
Past

February 4, 2016 - September 19, 2018

CADARET, GRANT & CO., INC.

RIA
CRD#: 10641
ROCHESTER, NY
Past

February 20, 2015 - September 19, 2018

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
ROCHESTER, NY
Past

October 21, 1999 - November 2, 2000

FLEET ENTERPRISES, INC.

BD
CRD#: 17434
NEW YORK, NY
Past

February 25, 1999 - August 9, 2000

FIS SECURITIES, INC.

BD
CRD#: 30533
BOSTON, MA
Past

October 3, 1997 - February 24, 1999

PITTSFORD CAPITAL MARKETS, INC

BD
CRD#: 36406
PITTSFORD, NY
Past

April 17, 1990 - October 9, 1997

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

April 17, 1990 - October 9, 1997

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MW
MODERN WEALTH MANAGEMENT, LLC
MODERN WEALTH MANAGEMENT, LLC | PUBLIC SAFETY FINANCIAL | PETSO FINANCIAL, A DIVISION OF MODERN WEALTH MANAGEMENT, LLC

CRD#: 324624 / SEC#: 801-127231

RIA
Registered Investment Advisory firm - (5/2/2023 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/19/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/16/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/20/2015
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 2/12/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/29/1999
General Securities Principal Examination

Current Firm

MW
MODERN WEALTH MANAGEMENT, LLC
MODERN WEALTH MANAGEMENT, LLC | PUBLIC SAFETY FINANCIAL | PETSO FINANCIAL, A DIVISION OF MODERN WEALTH MANAGEMENT, LLC

CRD#: 324624 / SEC#: 801-127231

RIA
Registered Investment Advisory firm - (5/2/2023 Approved)
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Contact information

Main Address
13550 W 95th St., Lenexa, KS 66227
Mailing Address
Phone number
(913) 393-1000
Established
Firm type
Fiscal year end
# of Employees
150

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MARCH 2025 ADV 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts18,823
AUM (Assets Under Management)$ 6,148,915,787

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.

Company Information

MODERN WEALTH MANAGEMENT, LLC

CRD#: 324624

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