Andrew M. Newburger
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.
Andrew Morris Newburger, who also goes by Andrew M Newburger, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1946. Andrew had worked at 2 firms and has passed the Series 63 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 1973 - April 10, 2001
LEBENTHAL & CO., INC.
May 13, 1946 - April 7, 1973
NEWBURGER, LOEB & CO., INC.
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
LEBENTHAL & CO., INC.
CRD#: 6490 / SEC#: , 8-17602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ADVEST GROUP INCORPORATED | SOLE SHAREHOLDER | |
| JAMES, JEFFREY MICHAEL | EXECUTIVE VICE PRESIDENT | 257048 |
| KAUFMAN, DAVID WARREN | SENIOR VICE PRESIDENT, SECRETARY | 265245 |
| KURTZ, GRANT WILSON | DIRECTOR | 276849 |
| LEBENTHAL, ALEXANDRA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 1638099 |
| MCGRATH, JAMES EDWARD | SENIOR VICE PRESIDENT, TREASURER, FINOP | 1582846 |
| MULLANE, DANIEL JOSEPH | DIRECTOR | 1246435 |
| SMITH, DUNCAN KIMBER | SENIOR VICE PRESIDENT | 1005694 |
| TANKERSLEY, GERALD HARDIE | SENIOR VICE PRESIDENT | 442415 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
