Neil 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.
Neil Newman was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1969. Neil had worked at 15 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 1993 - October 23, 1995
COLIN WINTHROP & CO., INC.
September 10, 1991 - January 20, 1993
CORTLANDT CAPITAL CORPORATION
March 13, 1990 - September 13, 1991
PATAGON.COM SECURITIES CORP.
July 25, 1989 - March 6, 1990
SILVER, GRAY & CO., INC.
August 25, 1988 - July 10, 1989
STRATTON OAKMONT INC.
December 16, 1987 - August 20, 1988
VANDERBILT SECURITIES, INC.
August 22, 1986 - March 11, 1988
INVESTORS CENTER, INC.
December 17, 1984 - March 11, 1988
INVESTORS CENTER, INC.
May 21, 1984 - July 30, 1986
SHELTER ROCK SECURITIES CORP.
February 25, 1983 - May 15, 1984
SUTTON PLACE SECURITIES, INC.
August 27, 1982 - February 9, 1983
G. K. SCOTT & CO., INC.
February 8, 1977 - October 7, 1982
NORBAY SECURITIES INC.
September 11, 1974 - March 9, 1977
SHERMAN, FITZPATRICK & CO., INC.
March 12, 1974 - October 20, 1974
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 27, 1972 - June 29, 1973
LEGG MASON WOOD WALKER, INCORPORATED
December 9, 1969 - July 19, 1972
ROBERT FLEMING 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
Series 1
Date: 12/12/1966
Registered Representative ExaminationCurrent Firm
COLIN WINTHROP & CO., INC.
CRD#: 26012 / SEC#: , 8-41937
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
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.
