Kevin M. Roe

NEWPORT GLOBAL ADVISORS L.P.

THE WOODLANDS, TX 77381-1155

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CRD#: 2396474

Professional summary

Kevin Michael Roe MR., who also goes by Kevin Michael Roe, is a registered financial advisor currently at NEWPORT GLOBAL ADVISORS L.P. located in The Woodlands, Texas.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Kevin has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin Michael Roe

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) - RIA

Click below to view Kevin Michael Roe MR.'s 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®

None

Experience

Current

December 20, 2021 - Present

NEWPORT GLOBAL ADVISORS L.P.

Office #1: 9006 Forest Crossing Drive Suite D, The Woodlands, TX 77381-1155

RIA

CRD#: 139368

THE WOODLANDS, TX

Past

July 11, 2003 - December 31, 2019

ROE EQUITY RESEARCH LLC

RIA

CRD#: 127442

DORSET, VT

Past

May 9, 1995 - April 11, 2002

ABN AMRO INCORPORATED

CRD#: 15776

STAMFORD, CT

Past

August 16, 1994 - May 19, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

NEWPORT GLOBAL ADVISORS L.P.

CRD#: 139368 / SEC#: 801-66417

RIA

Registered Investment Advisory firm - (5/4/2006 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

Texas
(12/20/2021)

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: 7/16/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/5/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/15/1994

General Securities Representative Examination

Current Firm

NEWPORT GLOBAL ADVISORS L.P.

CRD#: 139368 / SEC#: 801-66417

RIA

Registered Investment Advisory firm - (5/4/2006 Approved)

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Contact information

Main Address

9006 Forest Crossing Drive Suite D, The Woodlands, TX 77381-1155

Mailing Address

Phone number

(713) 559-7400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

NEWPORT GLOBAL ADVISORS PART 2 (3/20/2026)

Regulatory assets under management

Total Number of Accounts	6
AUM (Assets Under Management)	$ 174,820,677

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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Kevin M. Roe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Michael Roe MR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

NEWPORT GLOBAL ADVISORS L.P.

ROE EQUITY RESEARCH LLC

ABN AMRO INCORPORATED

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

NEWPORT GLOBAL ADVISORS L.P.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/16/2003

Series 63

Date: 4/5/1995

Series 7

Date: 8/15/1994

Current Firm

NEWPORT GLOBAL ADVISORS L.P.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEWPORT GLOBAL ADVISORS L.P.

TRUST BUT VERIFY

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