Robert C. Newton

MODERN WEALTH MANAGEMENT

Rochester, NY 14604

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CRD#: 2038692

Professional summary

Robert Clair Newton, ChFC®, CLU® is a registered financial advisor currently at MODERN WEALTH MANAGEMENT, LLC located in Rochester, New York.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Robert has 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"?

Yes

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.

1. 1/7/2020 - BIA Consulting, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 12/31/2019 - 160 Hours Per Month/6 Hours During Securities Trading. 2. 1/7/2020 - BIA Consulting, LLC, dba Beltz Ianni & Associates - Investment Related - At Reported Business Location(s) - DBA for Mutual Securities Group - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 3. 1/7/2020 - Modern Wealth Business - Non-Investment Related - At Reported Business Location(s) - Third Party Administrator (TPA) - Member - Start Date: 12/31/2019.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Clair Newton's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

March 1, 2024 - Present

MODERN WEALTH MANAGEMENT, LLC

Office #1: One Bausch & Lomb Place Suite 920, Rochester, NY 14604

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

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.

CRD#: 10641

ROCHESTER, NY

Past

October 21, 1999 - November 2, 2000

FLEET ENTERPRISES, INC.

CRD#: 17434

NEW YORK, NY

Past

February 25, 1999 - August 9, 2000

FIS SECURITIES, INC.

CRD#: 30533

BOSTON, MA

Past

October 3, 1997 - February 24, 1999

PITTSFORD CAPITAL MARKETS, INC

CRD#: 36406

PITTSFORD, NY

Past

April 17, 1990 - October 9, 1997

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

April 17, 1990 - October 9, 1997

MSI FINANCIAL SERVICES, INC.

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".

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(3/1/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/19/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/16/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/20/2015

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 2/12/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/29/1999

General Securities Principal Examination

Current Firm

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)

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 Accounts	18,823
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.

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Advisor Monitoring

Firm Stability Insights

Robert C. Newton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Clair Newton's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

FLEET ENTERPRISES, INC.

FIS SECURITIES, INC.

PITTSFORD CAPITAL MARKETS, INC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

MODERN WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/19/2015

Series 63

Date: 3/16/2015

SIE

Date: 10/1/2018

Series 6

Date: 2/20/2015

Series 7

Date: 2/12/1998

Series 24

Date: 11/29/1999

Current Firm

MODERN WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MODERN WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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