William S. Newby
Professional summary
William Stewart Newby, who also goes by William S Newby, William Newby, is a registered financial professional currently at TFA SECURITIES, INC. located in El Segundo, California.
William is registered as a RR (Registered Representative) and started their career in finance in 1999. William has worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Stewart Newby's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 20, 2017 - Present
TFA SECURITIES, INC.
Office #1: 201 Continental Blvd., Suite 110, El Segundo, CA 90245July 6, 2015 - March 8, 2016
TFA SECURITIES, INC.
October 19, 2010 - July 12, 2013
JEFFERIES LLC
July 1, 2009 - August 25, 2010
UBS SECURITIES LLC
August 17, 1999 - October 20, 2008
BANC OF AMERICA SECURITIES 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
(11/20/2017)
(11/20/2017)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
TFA SECURITIES, INC.
CRD#: 284982 / SEC#: , 8-69822
Contact information
FINRA licenses (2 States and Territories)
Documents
Red Flags
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