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Pricing
For Advisors
NC

Newman G. Corriette

TOCQUEVILLE SECURITIES L.P.
New York, NY 10019
Some features on this profile are disabled
CRD#: 4862098
NC

Professional summary

Newman Gerard Corriette is a registered financial professional currently at TOCQUEVILLE SECURITIES L.P. located in New York, New York.

Newman is registered as a RR (Registered Representative) and started their career in finance in 2005. Newman has worked at 2 firms and has passed the Series 52TO, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Newman Gerard Corriette'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

May 22, 2006 - Present

TOCQUEVILLE SECURITIES L.P.

Office #1: 40 West 57th Street 19th Floor, New York, NY, 10019Office #2: 40 West 57th Street 19th Floor, New York, NY, 10019
BD
CRD#: 26001
New York, NY
Past

January 1, 2005 - February 8, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/28/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TS
TOCQUEVILLE SECURITIES L.P.
LEPERCQ, DE NEUFLIZE/TOCQUEVILLE SECURITIES, L.P. | TOCQUEVILLE SECURITIES L.P.

CRD#: 26001 / SEC#: , 8-42223

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
40 West 57th Street 19th Floor, New York, NY, 10019
Mailing Address
40 West 57th Street 19th Floor, New York, NY, 10019
Phone number
(212) 698-0800
Established
Delaware since 01/04/1990
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TOCQUEVILLE ASSET MANAGEMENT L.P.LIMITED PARTNER
CHUN, YUEN NAFINOP2219603
GRAHAM, KELSEY DUBOIS IIICHIEF COMPLIANCE OFFICER5976494
KLEINSCHMIDT, ROBERT WILLIAMCEO & GSP855215
SCHLESINGER, SCOTT IRAPRESIDENT, CHIEF OPERATING OFFICER & GSP1252675
TOCQUEVILLE MANAGEMENT CORPORATIONGENERAL PARTNER

Disclosures

Regulatory Event4

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.

Company Information

TOCQUEVILLE SECURITIES L.P.

CRD#: 26001New York, NY 10019

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