Kirtis J. Newberry
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.
Kirtis John Newberry was a registered financial professional .
Kirtis is a previously registered financial professional and started their career in finance in 1997. Kirtis had worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2012 - March 3, 2017
CLEARBRIDGE INVESTMENTS, LLC
February 13, 2012 - March 3, 2017
FRANKLIN DISTRIBUTORS, LLC
August 4, 2011 - February 15, 2012
WOODBURY FINANCIAL SERVICES, INC.
August 4, 2011 - February 15, 2012
WOODBURY FINANCIAL SERVICES, INC.
May 1, 2010 - November 8, 2010
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
August 22, 2005 - May 1, 2010
BOFA ADVISORS, LLC
November 8, 2004 - May 6, 2010
BOFA DISTRIBUTORS, INC.
September 10, 2001 - November 12, 2004
CITIGROUP GLOBAL MARKETS INC.
April 13, 1999 - July 19, 2000
CUSO FINANCIAL SERVICES, L.P.
June 15, 1998 - February 2, 1999
MORGAN STANLEY DW INC.
February 11, 1998 - June 8, 1998
STOCKS 4 LESS, INC.
November 25, 1997 - June 5, 1998
NATIONAL CLEARING CORP.
Primary Firm SEC Registration
CLEARBRIDGE INVESTMENTS, LLC
CRD#: 137028 / SEC#: 801-64710
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
Current Firm
CLEARBRIDGE INVESTMENTS, LLC
CRD#: 137028 / SEC#: 801-64710
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 122,375 |
| AUM (Assets Under Management) | $ 180,788,611,945 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/27/2025 | ||
| 01/24/2025 | ||
| 11/20/2023 | ||
| 01/27/2023 |
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.
