Theron R. Finstad
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.
Theron Ronald Finstad, who also goes by Ron Finstad, was a registered financial professional .
Theron is a previously registered financial professional and started their career in finance in 2003. Theron had worked at 4 firms and has passed the Series 66, Series 7TO, SIE, Series 31 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
January 13, 2017 - August 3, 2020
NEWPORT GROUP SECURITIES, INC.
December 10, 2008 - April 7, 2015
TRANSAMERICA INVESTORS SECURITIES, LLC
May 22, 2008 - August 12, 2008
MORGAN STANLEY & CO. LLC
February 22, 2008 - August 12, 2008
MORGAN STANLEY & CO. LLC
February 8, 2006 - January 22, 2008
TRANSAMERICA INVESTORS SECURITIES, LLC
January 29, 2004 - July 15, 2005
SYNOVUS SECURITIES, INC.
November 14, 2003 - July 15, 2005
SYNOVUS SECURITIES, 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 7TO
Date: 6/30/2024
General Securities Representative ExaminationCurrent Firm
NEWPORT GROUP SECURITIES, INC.
CRD#: 29722 / SEC#: 801-60427, 8-44508
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWPORT GROUP HOLDINGS I, INC. | OWNER | |
| KAPLAN, ROBERT BARRY | CCO | 1286735 |
Regulatory assets under management
| Total Number of Accounts | 75 |
| AUM (Assets Under Management) | $ 22,966,874,617 |
Red Flags
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