Loren H. 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.
Loren H Newman was a registered financial professional .
Loren is a previously registered financial professional and started their career in finance in 1995. Loren had worked at 6 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2006 - February 15, 2012
CASSANDRA TRADING GROUP, LLC
February 23, 2005 - July 25, 2006
MATRIX EXECUTIONS, LLC
October 30, 2001 - December 31, 2003
LASALLE ST SECURITIES, L.L.C.
May 15, 2001 - October 15, 2001
EXT ELECTRONIC EXCHANGE TRADING, INC.
February 11, 2000 - June 14, 2001
LIGHTSPEED PROFESSIONAL TRADING LLC
February 2, 1999 - February 11, 2000
LASALLE ST SECURITIES, L.L.C.
January 15, 1997 - December 31, 1997
LASALLE ST SECURITIES, L.L.C.
February 16, 1995 - December 12, 1995
ELECTRONIC TRADING GROUP, LLC
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 55
Date: 9/16/1999
Limited Representative-Equity Trader ExamCurrent Firm
CASSANDRA TRADING GROUP, LLC
CRD#: 117818 / SEC#: , 8-53607
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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