Francis D. Newman
Professional summary
Francis Daniel Newman, who also goes by Francis D Newman, Frank D Newman, Frank Newman, is a registered financial advisor currently at ALLY INVEST ADVISORS located in Florham Park, New Jersey.
Francis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Francis has worked at 3 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Francis Daniel Newman's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 17, 2022 - Present
ALLY INVEST ADVISORS
December 14, 2016 - February 5, 2021
TD AMERITRADE, INC.
December 14, 2016 - February 5, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
Primary Firm SEC Registration
ALLY INVEST ADVISORS
CRD#: 170301 / SEC#: 801-79305
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/17/2022)
Current Firm
ALLY INVEST ADVISORS
CRD#: 170301 / SEC#: 801-79305
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 76,058 |
| AUM (Assets Under Management) | $ 1,389,572,606 |
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.
