Hal P. Newman

TRUIST ADVISORY SERVICES

BOSTON, MA 02110

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CRD#: 2572161

Professional summary

Hal Paul Newman is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Boston, Massachusetts and TRUIST INVESTMENT SERVICES, INC. located in Boston, Massachusetts.

Hal is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Hal has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 9, Series 10 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hal Paul Newman's CRS (Customer Relationship Summary).

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

August 30, 2016 - Present

TRUIST ADVISORY SERVICES, INC.

Office #1: 101 Arch St Fl 15, Boston, MA 02110

RIA

CRD#: 283390

BOSTON, MA

Current

March 7, 2016 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 101 Arch St Fl 15, Boston, MA 02110

CRD#: 17499

BOSTON, MA

Past

December 9, 2019 - February 17, 2021

BB&T SECURITIES, LLC

CRD#: 142785

HUNT VALLEY, MD

Past

March 29, 2016 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

RESTON, VA

Past

February 14, 2008 - February 1, 2016

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

PROVIDENCE, RI

Past

January 12, 2001 - February 1, 2016

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PROVIDENCE, RI

Past

September 18, 2000 - August 10, 2001

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

April 21, 1998 - September 15, 2000

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

February 4, 1997 - May 5, 1998

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

March 28, 1996 - January 27, 1997

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

July 18, 1995 - April 18, 1996

JOSEPH CHARLES & ASSOC., INC.

CRD#: 3949

BOCA RATON, FL

Past

December 21, 1994 - July 18, 1995

DICKINSON & CO.

CRD#: 689

DES MOINES, IA

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".

TRUIST ADVISORY SERVICES, INC.

SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA

Registered Investment Advisory firm - (5/18/2016 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.

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

Alabama
(5/20/2022)

Alaska
(5/20/2022)

Arizona
(5/20/2022)

Arkansas
(5/20/2022)

California
(5/20/2022)

Colorado
(5/20/2022)

Connecticut
(3/28/2016)

Delaware
(3/28/2016)

District of Columbia
(3/7/2016)

Florida
(5/20/2022)

Georgia
(5/20/2022)

Hawaii
(5/20/2022)

Idaho
(5/20/2022)

Illinois
(5/20/2022)

Indiana
(5/20/2022)

Iowa
(5/20/2022)

Kansas
(5/20/2022)

Kentucky
(5/20/2022)

Louisiana
(5/20/2022)

Maine
(5/20/2022)

Maryland
(3/7/2016)

Massachusetts
(3/28/2016)

IAR

Massachusetts
(9/22/2021)

Michigan
(5/20/2022)

Minnesota
(5/20/2022)

Mississippi
(5/20/2022)

Missouri
(5/20/2022)

Montana
(5/23/2022)

Nebraska
(5/20/2022)

Nevada
(5/20/2022)

New Hampshire
(5/20/2022)

New Jersey
(3/28/2016)

New Mexico
(5/20/2022)

New York
(3/28/2016)

North Carolina
(5/20/2022)

North Dakota
(5/20/2022)

Ohio
(3/28/2016)

Oklahoma
(5/20/2022)

Oregon
(5/20/2022)

Pennsylvania
(3/28/2016)

Puerto Rico
(5/20/2022)

Rhode Island
(5/20/2022)

South Carolina
(5/20/2022)

South Dakota
(5/20/2022)

Tennessee
(5/20/2022)

Texas
(5/20/2022)

Utah
(5/20/2022)

Vermont
(5/20/2022)

Virgin Islands
(5/20/2022)

Virginia
(3/7/2016)

Washington
(5/20/2022)

West Virginia
(5/20/2022)

Wisconsin
(5/20/2022)

Wyoming
(5/20/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/18/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/22/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/10/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 12/14/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/20/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 11/26/2003

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 9/25/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 9/25/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TRUIST ADVISORY SERVICES, INC.

SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

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Contact information

Main Address

303 Peachtree Street 2nd Floor, Atlanta, GA 30303

Mailing Address

Po Box 4418 Mc 107, Atlanta, GA 30302

Phone number

(800) 874-4770

Established

Firm type

Fiscal year end

# of Employees

2,469

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TAS CONSULTING SERVICES AMC ADVANTAGE FIRM BROCHURE (12/1/2025)

TAS AMC WRAP MANAGED PROGRAMS BROCHURE (12/1/2025)

Regulatory assets under management

Total Number of Accounts	124,363
AUM (Assets Under Management)	$ 67,736,740,585

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/24/2025	Cover Page	Report
03/28/2024	Cover Page	Report
04/26/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Hal P. Newman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hal Paul Newman's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

BB&T SECURITIES, LLC

TRUIST INVESTMENT SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

QUICK & REILLY, INC.

CITICORP INVESTMENT SERVICES

BNY MELLON SECURITIES CORPORATION

FIRST ALLIED SECURITIES, INC.

JOSEPH CHARLES & ASSOC., INC.

DICKINSON & CO.

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/18/2000

Series 63

Date: 12/22/1994

SIE

Date: 10/1/2018

Series 3

Date: 11/10/2006

Series 31

Date: 12/14/2004

Series 7

Date: 12/20/1994

Series 9

Date: 11/26/2003

Series 10

Date: 9/25/2003

Series 24

Date: 9/25/1996

FINRA

Current Firm

TRUIST ADVISORY SERVICES, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRUIST ADVISORY SERVICES, INC.

TRUST BUT VERIFY

Contact information

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