Brooks K. Newman
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.
Brooks Kendall Newman was a registered financial professional .
Brooks is a previously registered financial professional and started their career in finance in 2008. Brooks had worked at 7 firms and has passed the Series 63 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2012 - March 22, 2012
SOURCE CAPITAL GROUP, INC.
October 31, 2011 - December 20, 2012
WALL AND COMPANY SECURITIES, INC.
August 20, 2010 - November 23, 2010
GUARDIAN DIRECT ENERGY PROGRAMS, INC.
April 21, 2010 - July 21, 2010
M & W FINANCIAL INC.
June 30, 2009 - September 1, 2009
GENERATIONAL CAPITAL MARKETS INC.
September 10, 2008 - June 24, 2009
LONE STAR SECURITIES, INC.
January 31, 2008 - June 2, 2008
TEXLARK SECURITIES, LLC
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
Current Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
