Kevin A. 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.
Kevin Alan Newman was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2002. Kevin had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2017 - June 20, 2017
NEWPORT GROUP SECURITIES, INC.
September 25, 2007 - December 7, 2007
RIVERSOURCE DISTRIBUTORS, INC.
September 21, 2006 - August 31, 2007
VOYA FINANCIAL PARTNERS, LLC
March 28, 2003 - May 11, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 16, 2002 - April 23, 2002
VP DISTRIBUTORS LLC
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
NEWPORT GROUP SECURITIES, INC.
CRD#: 29722 / SEC#: 801-60427, 8-44508
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWPORT GROUP HOLDINGS I, INC. | OWNER | |
| KAPLAN, ROBERT BARRY | CCO | 1286735 |
Regulatory assets under management
| Total Number of Accounts | 75 |
| AUM (Assets Under Management) | $ 22,966,874,617 |
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.
