EN
Eric Newman
DOMINARI SECURITIES LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 2509259
EN
Professional summary
Eric Newman is a registered financial advisor currently at DOMINARI SECURITIES LLC located in New York, New York.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Eric has worked at 10 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 3, Series 7, Series 4 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) ECC NEW CAPITAL LLC, 75 TRESSER BLVD. UNIT 244 STAMFORD, CT 06901; NOT INVESTMENT RELATED, OWNER, PERSONAL LLC BILL PAYING ENTITY AND REAL ESTATE HOLDINGS; START DATE: 12/01/2017; 1 HOUR PER MONTH DEVOTED TO BUSINESS; 0 HOURS DURING SECURITIES TRADING HOURS. (2) Insurance Licensed Producer. 725 5th Ave 23 Floor NY, NY 10022. VA could be Securities Related, Insurance (Life and VA) 9/17/2024 1 Hrs per month 0 hrs regular MKT HRS
CRS (Client Relationship Summary) - RIA
Click below to view Eric Newman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eric Newman'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®
NoneExperience
Current
March 8, 2024 - Present
DOMINARI SECURITIES LLC
Office #1: 725 Fifth Ave. 23rd Fl., New York, NY, 10022RIA
BD
CRD#: 18975
New York, NY
Current
March 8, 2024 - Present
DOMINARI SECURITIES LLC
Office #1: 725 Fifth Avenue 23rd Fl., New York, NY, 10022RIA
BD
CRD#: 18975
New York, NY
Past
March 19, 2020 - August 2, 2021
EAGLE WEALTH ADVISORS
RIA
CRD#: 299219
BROOKLYN, NY
Past
September 28, 2017 - April 5, 2024
AEGIS CAPITAL CORP.
RIA
CRD#: 15007
NEW YORK, NY
Past
September 1, 2017 - April 5, 2024
AEGIS CAPITAL CORP.
BD
CRD#: 15007
NEW YORK, NY
Past
May 13, 2015 - September 29, 2017
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
MINEOLA, NY
Past
January 23, 2007 - September 29, 2017
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
MINEOLA, NY
Past
December 1, 2003 - February 5, 2007
FIRST MONTAUK SECURITIES CORP.
BD
CRD#: 13755
PORT WASHINGTON, NY
Past
July 24, 2001 - December 31, 2003
THE CONCORD EQUITY GROUP, LLC
BD
CRD#: 14569
ISELIN, NJ
Past
February 23, 1998 - August 2, 2001
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
June 12, 1996 - February 23, 1998
DONALD & CO. SECURITIES INC.
BD
CRD#: 7776
TINTON FALLS, NJ
Past
October 17, 1995 - June 17, 1996
PRIME CHARTER LTD.
BD
CRD#: 25668
NEW YORK, NY
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".
DS
DOMINARI SECURITIES LLC
DOMINARI SECURITIES LLC | SPECTRUM FINANCIAL STRATEGIES, INC. | NUTMEG SECURITIES, LTD. | NUTMEG SECURITIES, LLC | METRO PENSION ANALYSTS, LTD. | FUTURES BENEFITS | FREEDOM FINANCIAL SERVICES, INC | FIELDPOINT PRIVATE SECURITIES, LLC | FIELDPOINT PRIVATE SECURITIES LLC | E-BENEFITS
CRD#: 18975 / SEC#: 801-78295, 8-37105
RIA
Registered Investment Advisory firm - SEC (7/31/2013 Approved)Arizona
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)California
Registered Investment Advisory firm - SEC (9/22/2013 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/23/2013 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/27/2013 Terminated)Delaware
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Florida
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/26/2013 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/28/2013 Terminated)Maryland
Registered Investment Advisory firm - SEC (1/22/2013 Terminated)Michigan
Registered Investment Advisory firm - SEC (9/9/2013 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/17/2013 Terminated)New Jersey
Registered Investment Advisory firm - SEC (11/4/2013 Terminated)New Mexico
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)New York
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)South Dakota
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Texas
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/5/2024)
RR
Alaska(3/8/2024)
RR
Arizona(3/8/2024)
RR
Arkansas(4/26/2024)
RR
California(3/8/2024)
RR
Colorado(12/16/2024)
RR
Connecticut(3/11/2024)
RR
Delaware(3/8/2024)
RR
District of Columbia(3/8/2024)
RR
Florida(3/8/2024)
RR
Georgia(3/8/2024)
RR
Hawaii(4/5/2024)
RR
Idaho(3/8/2024)
RR
Illinois(3/8/2024)
RR
Indiana(3/8/2024)
RR
Iowa(3/8/2024)
RR
Kansas(3/8/2024)
RR
Kentucky(3/8/2024)
RR
Louisiana(4/9/2024)
RR
Maine(3/8/2024)
RR
Maryland(3/8/2024)
RR
Massachusetts(3/25/2024)
RR
Michigan(3/8/2024)
RR
Minnesota(3/20/2024)
RR
Mississippi(3/8/2024)
RR
Missouri(3/8/2024)
RR
Montana(3/11/2024)
RR
Nebraska(4/5/2024)
RR
Nevada(3/8/2024)
RR
New Hampshire(3/8/2024)
RR
New Jersey(3/8/2024)
IAR
New Jersey(3/12/2024)
RR
New Mexico(3/8/2024)
RR
New York(3/8/2024)
IAR
New York(3/11/2024)
RR
North Carolina(4/8/2024)
RR
North Dakota(3/8/2024)
RR
Ohio(3/8/2024)
RR
Oklahoma(3/8/2024)
RR
Oregon(3/8/2024)
RR
Pennsylvania(3/8/2024)
RR
Puerto Rico(4/5/2024)
RR
Rhode Island(3/8/2024)
RR
South Carolina(3/8/2024)
RR
South Dakota(3/8/2024)
RR
Tennessee(3/8/2024)
RR
Texas(3/8/2024)
RR
Utah(3/8/2024)
RR
Vermont(3/8/2024)
RR
Virgin Islands(5/15/2024)
RR
Virginia(3/8/2024)
RR
Washington(4/11/2024)
RR
West Virginia(3/8/2024)
RR
Wisconsin(3/8/2024)
RR
Wyoming(3/8/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 8/25/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DS
DOMINARI SECURITIES LLC
DOMINARI SECURITIES LLC | SPECTRUM FINANCIAL STRATEGIES, INC. | NUTMEG SECURITIES, LTD. | NUTMEG SECURITIES, LLC | METRO PENSION ANALYSTS, LTD. | FUTURES BENEFITS | FREEDOM FINANCIAL SERVICES, INC | FIELDPOINT PRIVATE SECURITIES, LLC | FIELDPOINT PRIVATE SECURITIES LLC | E-BENEFITS
CRD#: 18975 / SEC#: 801-78295, 8-37105
RIA
Registered Investment Advisory firm - SEC (7/31/2013 Approved)Arizona
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)California
Registered Investment Advisory firm - SEC (9/22/2013 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/23/2013 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/27/2013 Terminated)Delaware
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Florida
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/26/2013 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/28/2013 Terminated)Maryland
Registered Investment Advisory firm - SEC (1/22/2013 Terminated)Michigan
Registered Investment Advisory firm - SEC (9/9/2013 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/17/2013 Terminated)New Jersey
Registered Investment Advisory firm - SEC (11/4/2013 Terminated)New Mexico
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)New York
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)South Dakota
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Texas
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
725 Fifth Avenue 23rd Fl., New York, NY, 10022
Mailing Address
725 Fifth Avenue 23rd Fl., New York, NY, 10022
Phone number
(212) 393-4500
Established
Delaware since 04/05/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
11
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOMINARI FINANCIAL, INC. | OWNER | |
| CAMPBELL, ROBERT NMN | FINOP | 1349154 |
| DEIGNAN, EDWARD PHILIP JR | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 4597976 |
| MERCADO, JAIME | CHIEF COMPLIANCE OFFICER, AMLCO | 2863760 |
| NEWMAN, ERIC | EVP/ROP | 2509259 |
| WILLIAMS, JOHN MARSHALL | COMPLIANCE OFFICER | 2833948 |
| WOOL, KYLE MICHAEL | CEO/ PRESIDENT | 4238101 |
Regulatory assets under management
| Total Number of Accounts | 235 |
| AUM (Assets Under Management) | $ 41,647,787 |
Disclosures
| Regulatory Event | 5 |
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.
