Frederick W. Newcomb
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.
Frederick Waltz Newcomb was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1968. Frederick had worked at 5 firms and has passed the Series 63, SIE, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2002 - March 17, 2015
NEWCOMB AND COMPANY
October 18, 1985 - January 17, 2002
NEWCOMB AND COMPANY
November 29, 1984 - October 4, 1985
LINSCO FINANCIAL GROUP, INC.
January 21, 1982 - January 13, 1983
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
August 10, 1971 - October 21, 1981
DEAM INVESTOR SERVICES, INC.
December 2, 1968 - September 26, 1971
NEW ENGLAND SECURITIES
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
Series 1
Date: 7/23/1968
Registered Representative ExaminationSeries 00
Date: 5/25/1971
General Securities Principal ExaminationCurrent Firm
NEWCOMB AND COMPANY
CRD#: 16851 / SEC#: , 8-34499
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWCOMB, FREDERICK WALTZ | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 346923 |
Disclosures
| Regulatory Event | 4 |
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.
