Newell C. Bossart
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.
Newell Chase Bossart was a registered financial professional .
Newell is a previously registered financial professional and started their career in finance in 1968. Newell had worked at 6 firms and has passed the Series 65, Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 1995 - August 26, 1996
MORTON CLARKE INC.
January 28, 1995 - February 15, 1995
UBS FINANCIAL SERVICES INC.
May 19, 1978 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
September 17, 1975 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
January 11, 1972 - November 13, 1975
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
September 18, 1968 - May 4, 1972
HINTON JONES & CO., INCORPORATED
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
PC
Date: 8/15/1977
AMEX Put and Call ExamSeries 1
Date: 9/10/1968
Registered Representative ExaminationCurrent Firm
MORTON CLARKE INC.
CRD#: 37182 / SEC#: 801-56495, 8-47646
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORTON, JOHN SAINSBURY | SHAREHOLDER | 341120 |
| CLARKE, STEPHEN SYDENHAM | SHAREHOLDER | 48072 |
| MORTON, TRENTON KROEGER | SHAREHOLDER | 2770360 |
| BRENNER, MARY SUSAN | SHAREHOLDER | 1355148 |
| DESHON, LOREN IRVIN | SHAREHOLDER | 730531 |
| HURD, PATRICIA LEE | CHIEF COMPLIANCE OFFICER - BROKERAGE, CCO - IA, SECRETARY | 3201269 |
| LAFROMBOIS, NOLAN RYAN | SHAREHOLDER, CFO, TREASURER | 4263393 |
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.
