Todd M. Newman
Professional summary
Todd Michael Newman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Todd is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Todd had worked at 7 firms, which includes SUMMIT BROKERAGE SERVICES INC., RYAN BECK & CO., RAYMOND JAMES & ASSOCIATES INC., J. B. HANAUER & CO., JOSEPH CHARLES & ASSOC. INC., FAIRCHILD FINANCIAL GROUP INC., L.C. WEGARD & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2005 - December 15, 2005
SUMMIT BROKERAGE SERVICES, INC.
November 9, 2004 - August 30, 2005
RYAN BECK & CO.
September 12, 2000 - November 29, 2004
RAYMOND JAMES & ASSOCIATES, INC.
August 20, 1996 - September 25, 2000
J. B. HANAUER & CO.
January 16, 1996 - June 12, 1996
JOSEPH CHARLES & ASSOC., INC.
November 29, 1995 - December 12, 1995
FAIRCHILD FINANCIAL GROUP, INC.
November 3, 1995 - November 27, 1995
L.C. WEGARD & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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