Thomas P. Newton
Professional summary
Thomas Phillip Newton is a registered financial professional currently at INSTITUTIONAL CASH DISTRIBUTORS, LLC located in Reno, Nevada.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1991. Thomas has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Phillip Newton's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 17, 2009 - Present
INSTITUTIONAL CASH DISTRIBUTORS, LLC
Office #1: 16475 Bordeaux Drive, Reno, NV 89511October 13, 2009 - December 31, 2012
BACKSHORE CAPITAL, LLC
April 23, 2003 - April 30, 2010
MERRIMAN CAPITAL, INC.
February 13, 2002 - May 2, 2003
DEAM INVESTOR SERVICES, INC.
May 14, 1999 - November 8, 2002
DWS DISTRIBUTORS, INC.
December 11, 1998 - January 4, 1999
DWS DISTRIBUTORS, INC.
December 10, 1998 - December 11, 1998
DEAM INVESTOR SERVICES, INC.
May 5, 1997 - May 27, 1998
UBS ASSET MANAGEMENT (US) INC.
March 13, 1996 - April 16, 1997
NEWEDGE SECURITIES, LLC
November 8, 1995 - April 26, 1996
CANTOR FITZGERALD & CO.
September 24, 1992 - June 7, 1995
PROFUNDS DISTRIBUTORS, INC.
May 24, 1991 - June 11, 1992
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/11/2010)
(1/6/2010)
(3/22/2010)
(2/2/2010)
(12/22/2010)
(12/22/2009)
(1/6/2010)
Exams
FINRA
Current Firm
INSTITUTIONAL CASH DISTRIBUTORS, LLC
CRD#: 149635 / SEC#: , 8-68161
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICD INTERMEDIATE HOLDCO 2 LLC | HOLDING COMPANY | |
| BRUNER, CHRISTIAN ADAM | BOARD MEMBER | 5661505 |
| CLACK, AMY | BOARD MEMBER | 4882071 |
| HAZARD, VICTOR JAMES IV | CEO / COO | 1871503 |
| KAHNEY, DOUGLAS RYAN | CHIEF COMPLIANCE OFFICER | 4903813 |
| NEWTON, THOMAS PHILLIP | MANAGING DIRECTOR | 2114728 |
| PITTINSKY, JONATHAN DAVID | CFO/FINOP | 4291263 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
Red Flags
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