Whipple S. Newell

ACADEMY SECURITIES

New York, NY 10017

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CRD#: 2991098

Professional summary

Whipple Spaulding Newell, who also goes by Whipple Spalding Newell, is a registered financial professional currently at ACADEMY SECURITIES, INC. located in New York, New York.

Whipple is registered as a RR (Registered Representative) and started their career in finance in 1998. Whipple has worked at 3 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Whipple Spalding Newell

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Whipple Spaulding Newell'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®

None

Experience

Current

March 1, 2024 - Present

ACADEMY SECURITIES, INC.

Office #1: 622 3rd Avenue 12th Floor, New York, NY 10017

CRD#: 17433

New York, NY

Past

October 5, 2007 - September 8, 2022

WELLS FARGO SECURITIES, LLC

CRD#: 126292

New York, NY

Past

March 18, 1998 - October 11, 2007

A. G. EDWARDS & SONS, INC.

CRD#: 4

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(3/1/2024)

Exams

State Security Law Exam

Series 63

Date: 4/12/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 1/11/2007

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 3/16/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ACADEMY SECURITIES, INC.

ACADEMY ASSET MANAGEMENT | STERLING INVESTMENT SERVICES, INC. | LASALLE BROKERAGE SERVICES, INC. | ACADEMY SECURITIES, INC.

CRD#: 17433 / SEC#: , 8-35173

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

622 3rd Avenue 12th Floor, New York, NY 10017

Mailing Address

622 3rd Avenue 12th Floor, New York, NY 10017

Phone number

(646) 736-3995

Established

Delaware since 11/07/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (38 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MIMS, RONALD CHANCE	CHAIRMAN, CEO	5637540
GRAHAM, ANTHONY R	FINOP	4959159
GRAHAM, ANTHONY R	PRINCIPAL OPERATIONS OFFICER	4959159
GRAHAM, ANTHONY R	PRINCIPAL FINANCIAL OFFICER	4959159
GRAHAM, ANTHONY R	COO	4959159
MCCONKEY, PHILIP JOSEPH	VICE CHAIRMAN	3253139
WILCOX, SPENCER HAMILTON	PRESIDENT	5802885
BOYD, MICHAEL BARTOW	CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER	2557814

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

Whipple S. Newell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Whipple Spaulding Newell's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO SECURITIES, LLC

A. G. EDWARDS & SONS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/12/1999

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 1/11/2007

Series 7

Date: 3/16/1998

FINRA

Current Firm

ACADEMY SECURITIES, INC.

Contact information

FINRA licenses (38 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ACADEMY SECURITIES, INC.

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