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Scott P. Newman
NELSON SECURITIES,INC.
San Diego, CA 92130
Some features on this profile are disabled
CRD#: 2716213
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Professional summary
Scott Patrick Newman, who also goes by Scott P Newman, is a registered financial advisor currently at NELSON SECURITIES,INC. located in San Diego, California.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Scott has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott P Newman
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Patrick Newman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Patrick Newman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 5, 2002 - Present
NELSON SECURITIES,INC.
Office #1: 12555 High Bluff Drive Suite 390, San Diego, CA 92130RIA
BD
CRD#: 14377
San Diego, CA
Current
September 5, 2002 - Present
NELSON SECURITIES,INC.
Office #1: 12555 High Bluff Drive Suite 390, San Diego, CA 92130RIA
BD
CRD#: 14377
San Diego, CA
Past
June 1, 2001 - November 2, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
August 30, 2000 - December 7, 2000
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
SAN DIEGO, CA
Past
September 11, 1998 - May 15, 2000
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NS
NELSON SECURITIES,INC.
NELSON INSURANCE AGENCY | WEALTH ASSET MANAGERS | NELSON SECURITIES,INC.
CRD#: 14377 / SEC#: 801-41346, 8-30576
RIA
Registered Investment Advisory firm - SEC (5/7/1992 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(11/7/2002)
RR
Arkansas(11/7/2002)
RR
California(9/5/2002)
IAR
California(9/5/2002)
RR
Colorado(11/7/2002)
RR
Florida(11/7/2002)
RR
Georgia(11/7/2002)
RR
Idaho(11/7/2002)
RR
Illinois(11/7/2002)
RR
Indiana(11/7/2002)
RR
Kansas(1/8/2004)
RR
Kentucky(11/7/2002)
RR
Louisiana(11/8/2002)
RR
Maine(11/7/2002)
RR
Maryland(11/7/2002)
RR
Massachusetts(11/8/2002)
RR
Michigan(11/7/2002)
RR
Minnesota(11/7/2002)
RR
Montana(12/1/2015)
RR
New Hampshire(11/7/2002)
RR
New Jersey(11/7/2002)
RR
New York(11/7/2002)
RR
North Carolina(11/8/2002)
RR
Ohio(11/8/2002)
RR
Oklahoma(11/7/2002)
RR
Oregon(11/7/2002)
RR
Pennsylvania(11/7/2002)
RR
South Carolina(11/7/2002)
RR
Texas(11/7/2002)
RR
Utah(11/7/2002)
RR
Virginia(11/7/2002)
RR
Washington(11/7/2002)
RR
West Virginia(12/1/2015)
RR
Wyoming(12/1/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NS
NELSON SECURITIES,INC.
NELSON INSURANCE AGENCY | WEALTH ASSET MANAGERS | NELSON SECURITIES,INC.
CRD#: 14377 / SEC#: 801-41346, 8-30576
RIA
Registered Investment Advisory firm - SEC (5/7/1992 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
9718 N Morton Ct, Spokane, WA 99218
Mailing Address
9718 N Morton Ct, Spokane, WA 99218
Phone number
(509) 838-1313
Established
Washington since 10/03/1983
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
15
SEC notice filing (50 States and Territories)
FINRA licenses (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,026 |
| AUM (Assets Under Management) | $ 271,967,129 |
Disclosures
| Regulatory Event | 1 |
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.
