Gary 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.
Gary Newman was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1994. Gary had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 2, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2011 - December 31, 2017
CROWN CAPITAL SECURITIES, L.P.
May 16, 2011 - December 31, 2017
CROWN CAPITAL SECURITIES, L.P.
April 6, 2011 - May 16, 2011
PRUCO SECURITIES, LLC.
August 11, 2010 - April 12, 2011
CROWN CAPITAL SECURITIES, L.P.
August 11, 2010 - April 12, 2011
CROWN CAPITAL SECURITIES, L.P.
November 17, 2008 - August 11, 2010
FINANCIAL ADVISERS OF AMERICA, LLC
November 17, 2008 - August 11, 2010
FINANCIAL ADVISERS OF AMERICA, LLC
October 26, 2006 - December 3, 2008
SIGNATOR INVESTORS, INC.
October 26, 2006 - December 3, 2008
SIGNATOR INVESTORS, INC.
June 26, 2006 - October 9, 2006
NEXCORE FINANCIAL SERVICES, INCORPORATED
June 8, 2006 - October 9, 2006
NEXCORE CAPITAL, INC.
June 4, 2004 - June 9, 2006
EQUITY SERVICES, INC.
June 1, 2004 - June 9, 2006
EQUITY SERVICES, INC.
January 7, 2004 - March 30, 2004
VERITRUST FINANCIAL, LLC
April 22, 2002 - March 30, 2004
VERITRUST FINANCIAL, LLC
August 21, 1998 - April 22, 2002
ARAGON FINANCIAL SERVICES, INC.
March 31, 1995 - August 3, 1998
CENTAURUS FINANCIAL, INC.
March 10, 1995 - March 23, 1995
MML INVESTORS SERVICES, LLC
March 2, 1994 - March 9, 1995
CENTAURUS FINANCIAL, INC.
February 22, 1994 - March 23, 1994
PRUCO SECURITIES, 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 2
Date: 8/22/1996
Non-Member General Securities ExaminationCurrent Firm
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
