Steven D. 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.
Steven David Newman was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1996. Steven had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 4, 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
March 14, 2018 - March 14, 2021
DALMORE GROUP LLC
December 5, 2007 - May 9, 2016
HSBC SECURITIES (USA) INC.
July 1, 2006 - November 15, 2007
J.P. MORGAN SECURITIES INC.
February 28, 2006 - July 1, 2006
BANC ONE SECURITIES CORPORATION
July 24, 2000 - November 28, 2006
CHASE INVESTMENT SERVICES CORP.
October 28, 1999 - May 18, 2000
NEBRASKA HUDSON COMPANY, INC.
December 15, 1998 - July 28, 1999
CITICORP INVESTMENT SERVICES
March 14, 1997 - October 7, 1998
CITIGROUP GLOBAL MARKETS INC.
October 10, 1996 - March 27, 1997
KERN, SUSLOW SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DALMORE GROUP LLC
CRD#: 136352 / SEC#: , 8-67002
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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