Arthur N. 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.
Arthur Neil Newman was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1995. Arthur had worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 86, Series 87, Series 16 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
May 23, 2018 - May 5, 2021
MANORHAVEN CAPITAL LLC
January 9, 2013 - November 25, 2013
HALPERN CAPITAL, INC.
March 5, 2012 - February 23, 2018
CARBON CAPITAL ADVISORS LLC
October 20, 2004 - November 2, 2012
HALPERN CAPITAL, INC.
May 5, 2000 - December 19, 2001
ABN AMRO INCORPORATED
June 9, 1999 - May 11, 2000
SCHRODER & CO. INC.
June 12, 1995 - June 3, 1999
BMO CAPITAL MARKETS CORP.
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 7TO
Date: 12/7/2022
General Securities Representative ExaminationCurrent Firm
MANORHAVEN CAPITAL LLC
CRD#: 44965 / SEC#: , 8-50911
Contact information
FINRA licenses (9 States and Territories)
Documents
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.
