Brian M. 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.
Brian Manning Newman, who also goes by Brian M Newman, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2000. Brian had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 21 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2019 - September 2, 2022
ARTISAN PARTNERS DISTRIBUTORS LLC
August 23, 2013 - March 8, 2018
BLACKROCK INVESTMENTS, LLC
July 2, 2012 - July 11, 2013
VIRTU AMERICAS LLC
July 20, 2011 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
September 22, 2008 - September 30, 2010
BARCLAYS CAPITAL INC.
December 17, 2007 - September 22, 2008
LEHMAN BROTHERS INC.
March 1, 2002 - January 8, 2008
VAN DER MOOLEN SPECIALISTS USA, LLC
October 1, 2000 - March 1, 2002
LYDEN, DOLAN, NICK & CO., LLC
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 21
Date: 3/12/2002
NYSE Front Line Specialist ClerkSeries 25
Date: 5/20/1999
NYSE Trading Assistant ExaminationCurrent Firm
ARTISAN PARTNERS DISTRIBUTORS LLC
CRD#: 45446 / SEC#: , 8-51043
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARTISAN PARTNERS HOLDINGS LP | SOLE MEMBER OF LLC | |
| DEMSKI, JILL MARIE | CHIEF COMPLIANCE OFFICER | 4313464 |
| HAMMAN, JAMES STEPHEN JR | VICE PRESIDENT & SECRETARY | 2767492 |
| KREIN, CHRISTOPHER JON | VICE PRESIDENT | 4534130 |
| RAMIREZ, GREGORY KENNETH | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 3094595 |
| VON HOFF, RYAN GEORGE | VICE PRESIDENT, TREASURER AND CHIEF FINANCIAL OFFICER | 7169306 |
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.
