MN
Matthew A. Newman
VOYA FINANCIAL ADVISORS
Madison, MS
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CRD#: 5647945
MN
Professional summary
Matthew A Newman, who also goes by Matt Newman, Matthew Adam Newman, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Madison, Mississippi.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Matthew has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matt Newman | Matthew Adam Newman
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.
WALTER PRESTON WEALTH MANAGEMENT POSITION: Financial Advisor NATURE: DBA Financial Services w/ Voya Financial Advisors. Insurance, Investments, and Financial Planning. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 5 START DATE: 06/25/2024 ADDRESS: P.O. Box 744, Madison MS 39130, United States DESCRIPTION: Lead, manage, ownership of said DBA. Financial Advisor activities. INDEPENDENT INSURANCE AGENT POSITION: Independent Insurance Agent NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 08/16/2024 ADDRESS: P.O. Box 744, Madison MS 39130, United States DESCRIPTION: Prospect, recommend, and implement insurance solutions for clients. WALTER PRESTON WEALTH MANAGEMENT, LLC POSITION: Owner NATURE: DBA disclosed 6/25/24. This is the creation of the formal LLC, DBA Walter Preston Wealth Management. INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 09/27/2024 ADDRESS: 137 Brisage Drive, Madison MS 39110, United States DESCRIPTION: Owner & operator. Insurance and financial services.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew A Newman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew A Newman's 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®
NoneExperience
Current
May 20, 2024 - Present
VOYA FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 2882
Madison, MS
Current
May 20, 2024 - Present
VOYA FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 2882
Madison, MS
Past
April 25, 2023 - December 31, 2023
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Madison, MS
Past
April 14, 2023 - December 31, 2023
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Madison, MS
Past
October 5, 2021 - March 24, 2023
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Metairie, LA
Past
September 29, 2021 - March 24, 2023
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Metairie, LA
Past
August 13, 2013 - August 12, 2021
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
RIDGELAND, MS
Past
August 13, 2013 - August 12, 2021
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
RIDGELAND, MS
Past
August 14, 2012 - February 27, 2013
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
July 25, 2012 - August 7, 2012
SECURITIES AMERICA, INC.
BD
CRD#: 10205
RIDGELAND, MS
Past
June 8, 2011 - June 7, 2012
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
RIDGELAND, MS
Past
March 25, 2009 - March 25, 2010
NEW ENGLAND SECURITIES
BD
CRD#: 615
JACKSON, MS
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Mississippi(5/20/2024)
IAR
Mississippi(5/20/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
+1 (800) 356-2906
Established
Minnesota since 04/26/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
563
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
