Alden 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.
Alden Newman, who also goes by Alden A Newman, was a registered financial professional .
Alden is a previously registered financial professional and started their career in finance in 1995. Alden had worked at 9 firms and has passed the Series 66, Series 63, Series 7, Series 53, Series 10, Series 9 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
January 25, 2012 - June 4, 2012
WTS PROPRIETARY TRADING GROUP LLC
June 10, 2011 - January 10, 2012
DIMENSION TRADING GROUP, LLC
August 27, 2010 - December 15, 2010
ICD SECURITIES INC.
March 5, 2007 - September 15, 2008
MML INVESTORS SERVICES, LLC
October 26, 2006 - March 23, 2007
HSBC SECURITIES (USA) INC.
June 2, 2005 - March 23, 2007
HSBC SECURITIES (USA) INC.
August 16, 2004 - May 13, 2005
OBSIDIAN FINANCIAL GROUP, LLC
November 26, 1996 - August 23, 2004
JANNEY MONTGOMERY SCOTT LLC
July 31, 1995 - December 6, 1996
J. B. HANAUER & CO.
March 20, 1995 - November 22, 1996
INVESTORS ASSOCIATES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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