Newton L. Osborn
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.
Newton Leroy Osborn JR was a registered financial professional .
Newton is a previously registered financial professional and started their career in finance in 1977. Newton had worked at 5 firms and has passed the Series 63, Series 52TO, Series 7TO, SIE, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2008 - November 30, 2023
SEQUOIA INVESTMENTS, INC.
June 26, 1991 - November 20, 2007
AMUNI FINANCIAL, INC.
November 5, 1990 - July 10, 1991
MARION BASS SECURITIES CORPORATION
January 17, 1984 - October 17, 1990
NORRIS & HIRSHBERG, INC.
January 17, 1977 - December 27, 1983
HENDERSON, FEW & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 2/14/1977
Registered Representative ExaminationSeries 40
Date: 8/23/1978
Registered Principal ExaminationCurrent Firm
SEQUOIA INVESTMENTS, INC.
CRD#: 39341 / SEC#: , 8-48712
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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