Sean M. Newsom
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.
Sean Michael Newsom, who also goes by Sean M. Newsom, Sean Newsom, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2001. Sean had worked at 5 firms and has passed the Series 66, Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2016 - June 7, 2024
WEALTHSOURCE®
March 15, 2013 - December 1, 2017
VELLUM FINANCIAL, LLC
May 21, 2012 - April 10, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 18, 2012 - April 10, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 24, 2008 - January 31, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 18, 2008 - January 31, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 2001 - July 17, 2007
CHARLES SCHWAB & 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
Series 55
Date: 3/20/2003
Limited Representative-Equity Trader ExamCurrent Firm
WEALTHSOURCE®
CRD#: 282202 / SEC#: 801-107199
Contact information
Regulatory assets under management
| Total Number of Accounts | 6,245 |
| AUM (Assets Under Management) | $ 2,116,238,123 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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