Weston M. Newman

YALE CAPITAL

St. Petersburg, FL 33707

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CRD#: 6266105

Professional summary

Weston Myles Newman, CFA is a registered financial advisor currently at YALE CAPITAL CORP. located in St. Petersburg, Florida.

Weston is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Weston has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 79, Series 86, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Weston Myles Newman's CRS (Customer Relationship Summary).

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®

CFA

Chartered Financial Analyst

Experience

Current

March 19, 2020 - Present

YALE CAPITAL CORP.

Office #1: 6475 1st Ave South, St. Petersburg, FL 33707

RIA

CRD#: 126992

St. Petersburg, FL

Past

October 5, 2017 - February 24, 2020

GOODPASTURE GRAY

RIA

CRD#: 108916

NASHVILLE, TN

Past

December 4, 2015 - June 6, 2017

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

August 25, 2014 - September 25, 2015

TRUIST SECURITIES, INC.

CRD#: 6271

ATLANTA, GA

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".

YALE CAPITAL CORP.

IVY ADVISORS, INC. | YALE CAPITAL CORP. | TEXAS YALE CAPITAL CORP. | IVY ADVISORS, LLC

CRD#: 126992 / SEC#: 801-64116

RIA

Registered Investment Advisory firm - (4/8/2005 Approved)

Florida

Registered Investment Advisory firm - (4/13/2005 Terminated)

Texas

Registered Investment Advisory firm - (4/13/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(3/19/2020)

IAR

Florida
(3/30/2020)

IAR

Texas
(3/19/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/5/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/10/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/6/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 12/14/2015

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 86

Date: 12/10/2014

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 10/8/2014

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 8/25/2014

General Securities Representative Examination

Current Firm

YALE CAPITAL CORP.

IVY ADVISORS, INC. | YALE CAPITAL CORP. | TEXAS YALE CAPITAL CORP. | IVY ADVISORS, LLC

CRD#: 126992 / SEC#: 801-64116

RIA

Registered Investment Advisory firm - (4/8/2005 Approved)

Florida

Registered Investment Advisory firm - (4/13/2005 Terminated)

Texas

Registered Investment Advisory firm - (4/13/2005 Terminated)

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Contact information

Main Address

6475 1st Ave South, St. Petersburg, FL 33707

Mailing Address

Phone number

(727) 823-0006

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HIGH NET WORTH INDIVIDUALS AND FAMILIES (7/30/2025)

Regulatory assets under management

Total Number of Accounts	112
AUM (Assets Under Management)	$ 4,043,423,072

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/08/2024	Cover Page	Report
09/11/2023	Cover Page	Report
09/20/2022	Cover Page	Report

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.

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Firm Stability Insights

Weston M. Newman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Weston Myles Newman's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOODPASTURE GRAY

HSBC SECURITIES (USA) INC.

TRUIST SECURITIES, INC.

Primary Firm SEC Registration

YALE CAPITAL CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/5/2017

Series 63

Date: 9/10/2014

SIE

Date: 6/6/2017

Series 79

Date: 12/14/2015

Series 86

Date: 12/10/2014

Series 87

Date: 10/8/2014

Series 7

Date: 8/25/2014

Current Firm

YALE CAPITAL CORP.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

YALE CAPITAL CORP.

TRUST BUT VERIFY

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