Shad M. Newhart
Professional summary
Shad Michael Newhart is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Mechanicsburg, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Mechanicsburg, Pennsylvania.
Shad is registered as a RR (Registered Representative) and started their career in finance in 2000. Shad has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Shad Michael Newhart's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 15, 2019 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 5 Kacey Ct; Suite 101, Mechanicsburg, PA 17055January 28, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5 Kacey Ct Ste 101, Mechanicsburg, PA 17055April 2, 2014 - November 8, 2017
GRANT WILLIAMS L.P.
December 11, 2006 - February 24, 2011
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 11, 2006 - April 16, 2013
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 18, 2006 - November 30, 2006
INVEST FINANCIAL CORPORATION
April 18, 2006 - November 30, 2006
INVEST FINANCIAL CORPORATION
February 8, 2005 - April 20, 2006
WELLS FARGO CLEARING SERVICES, LLC
May 12, 2004 - April 20, 2006
WELLS FARGO CLEARING SERVICES, LLC
March 27, 2000 - May 5, 2004
AMERIPRISE ADVISOR SERVICES, 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
(8/8/2024)
(11/22/2019)
Exams
FINRA
Current Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
Red Flags
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