Joanne S. Spears

NEWPORT CAPITAL GROUP | Senior Financial Advisor

Red Bank, NJ 07701

Some features on this profile are disabled

CRD#: 4638755

Professional summary

Joanne Shizue Spears, who also goes by Joanne Machida, Joanne Shizue Machida Spears, is a registered financial advisor currently at NEWPORT CAPITAL GROUP, LLC located in Red Bank, New Jersey and NCG SECURITIES LLC located in Red Bank, New Jersey.

Joanne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Joanne has worked at 3 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joanne Machida | Joanne Shizue Machida Spears

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

I*126197 For profit or not for profit: Non-Profit Organization Name of outside business organization: EDsnaps Investment related: N Address of business: New York, New York 10025 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 10/1/2019 Number of hours devoted: 10 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: Serve on Board of Directors to assist CEO with strategic planning, represent EDsnaps to stakeholders, ad hoc committee work.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joanne Shizue Spears's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 8, 2023 - Present

NEWPORT CAPITAL GROUP, LLC

Office #1: 12 Broad Street 5th Floor, Red Bank, NJ, 07701

RIA

CRD#: 144442

Red Bank, NJ

Current

September 8, 2023 - Present

NCG SECURITIES LLC

Office #1: 12 Broad Street 5th Floor, Red Bank, NJ, 07701

CRD#: 160481

Red Bank, NJ

Past

July 28, 2015 - September 6, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

RED BANK, NJ

Past

July 1, 2015 - September 6, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

RED BANK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NEWPORT CAPITAL GROUP, LLC

CRD#: 144442 / SEC#: 801-68323

RIA

Registered Investment Advisory firm - (9/18/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

California
(9/8/2023)

Florida
(9/8/2023)

New Jersey
(9/8/2023)

IAR

New Jersey
(9/11/2023)

New York
(9/8/2023)

IAR

New York
(9/15/2023)

Pennsylvania
(9/8/2023)

IAR

Pennsylvania
(9/11/2023)

Texas
(9/8/2023)

IAR

Texas
(9/8/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/24/2015

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 9/8/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/1/2015

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NEWPORT CAPITAL GROUP, LLC

CRD#: 144442 / SEC#: 801-68323

RIA

Registered Investment Advisory firm - (9/18/2007 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

12 Broad Street 5th Floor, Red Bank, NJ, 07701

Mailing Address

Phone number

(732) 741-8400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	366
AUM (Assets Under Management)	$ 1,219,148,466

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Fernando Rivera

WELLS FARGO CLEARING SERVICES, LLC

IAR

East Brunswick, NJ

Stephen Stewart

CHELSEA ADVISORY SERVICES, INC

IAR

South Ozone Park, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joanne S. Spears

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joanne Shizue Spears's CRS (Customer Relationship Summary).

Certified licenses

Experience

NCG SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

NEWPORT CAPITAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/24/2015

Series 6TO

Date: 9/8/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/1/2015

FINRA

Current Firm

NEWPORT CAPITAL GROUP, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEWPORT CAPITAL GROUP, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors