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RN

Raphael E. Newman

KROLL SECURITIES LLC
NEW YORK, NY 10007
Some features on this profile are disabled
CRD#: 6059339
RN

Professional summary

Raphael Ephraim Newman, who also goes by Ray Newman, is a registered financial professional currently at KROLL SECURITIES LLC located in New York, New York.

Raphael is registered as a RR (Registered Representative) and started their career in finance in 2012. Raphael has worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ray 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Raphael Ephraim 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®
None

Experience

Current

August 21, 2012 - Present

KROLL SECURITIES LLC

Office #1: One World Trade 285 Fulton Street 31st Floor, New York, NY, 10007
BD
CRD#: 36927
NEW YORK, NY

State Registrations and Notice Filings

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

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
Kentucky
(12/20/2013)
RR
New Jersey
(9/26/2014)
RR
New York
(8/21/2012)
RR
Pennsylvania
(3/20/2017)
RR
Texas
(5/4/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 8/17/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/20/2012
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

KS
KROLL SECURITIES LLC
DUFF & PHELPS SECURITIES CO. | PAGEMILL PARTNERS | KROLL SECURITIES LLC | KROLL INVESTMENT BANKING | KROLL CORPORATE FINANCE | GROWTH CAPITAL PARTNERS | DUFF & PHELPS SECURITIES LLC

CRD#: 36927 / SEC#: , 8-47558

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

Main Address
1 S. Wacker Drive Suite 700, Chicago, IL 60606
Mailing Address
1 S. Wacker Drive Suite 700, Chicago, IL 60606
Phone number
(312) 697-4600
Established
Delaware since 06/19/1997
Firm type
Limited Liability Company
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

Direct owners and executive officers

NamePositionCRD#
KROLL, LLCOWNER
ATTANASIO, ELIZABETH MARIEPRINCIPAL FINANCIAL OFFICER5325007
ATTANASIO, ELIZABETH MARIEFINOP5325007
ATTANASIO, ELIZABETH MARIEPRINCIPAL OPERATIONS OFFICER5325007
BARTELL, ROBERT ANTHONYVICE CHAIRMAN4998599
BENN, JOSHUA KOGANMANAGING DIRECTOR3166674
BLOWERS, DAVID CHARLES JR.CEO5960307
BURT, STEPHEN MPRESIDENT2679117
CAPITMAN, ANDREW WILLIAMMANAGING DIRECTOR2321386
JANCOVIC, GIZELLE MARIECHIEF COMPLIANCE OFFICER5654006
LU, DAVID HAI GEMANAGING DIRECTOR3069820
MOON, STEVEN JAE-HOMANAGING DIRECTOR4860246

Disclosures

Regulatory Event1

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

KROLL SECURITIES LLC

CRD#: 36927New York, NY 10007

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