PN
Paul M. Newmann
APEX CLEARING
New York, NY 10106
Some features on this profile are disabled
CRD#: 6344230
PN
Professional summary
Paul Michael Newmann, who also goes by Paul Michael Newmann, is a registered financial professional currently at APEX CLEARING CORPORATION located in New York, New York.
Paul is registered as a RR (Registered Representative) and started their career in finance in 2014. Paul has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Paul Michael Newmann
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.
1) Hometown High (Brooklyn, NY).Founder - Marketing and operations - Hometown High supports underprivileged students in the Saint Louis area by donating 100% of profits from products sold. Start Date: 07/06/2020. 2) Cents Ability; Junior Board Member, Volunteer; Fundraising, Teaching; Cents Ability is a 501(c)(3) nonprofit dedicated to educating and empowering high school students to achieve their goals through the prudent and informed management of their financial resources; 2 hours per week; Start Date: 6/10/2019
CRS (Client Relationship Summary) - BD
Click below to view Paul Michael Newmann'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
October 21, 2024 - Present
APEX CLEARING CORPORATION
Office #1: 888 7th Avenue 32nd Floor, New York, NY 10106BD
CRD#: 13071
New York, NY
Past
July 31, 2018 - January 12, 2024
BLACKROCK INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 108928
NEW YORK, NY
Past
May 25, 2018 - January 12, 2024
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
NEW YORK, NY
Past
April 10, 2018 - June 20, 2018
KINGSWOOD CAPITAL PARTNERS, LLC
BD
CRD#: 288898
SAN DIEGO, CA
Past
October 2, 2014 - April 19, 2016
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 111135
CHICAGO, IL
Past
July 23, 2014 - April 19, 2016
MESIROW FINANCIAL, INC.
BD
CRD#: 2764
CHICAGO, IL
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
New York(10/21/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
AC
APEX CLEARING CORPORATION
ADP CLEARING & OUTSOURCING SERVICES, INC. | U.S. CLEARING CORP. | RIDGE CLEARING & OUTSOURCING SOLUTIONS, INC. | Q & R CLEARING CORPORATION | FLEET SECURITIES, INC. | APEX CLEARING CORPORATION
CRD#: 13071 / SEC#: , 8-23522
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
One Dallas Center 350 N. St. Paul, Suite 1300, Dallas, TX 75201
Mailing Address
One Dallas Center 350 N. St. Paul, Suite 1300, Dallas, TX 75201
Phone number
(214) 765-1100
Established
New York since 12/22/1978
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APEX FINTECH SOLUTIONS INC. | SHAREHOLDER | |
| CAPUZZI, WILLIAM WALTER | CHIEF EXECUTIVE OFFICER | 4323894 |
| COUGHLIN, CONNOR DANIEL | CHIEF CUSTOMER OFFICER | 6665836 |
| DUCKWORTH, PAUL D | FINOP, PRINCIPAL FINANCIAL OFFICER | 3202937 |
| LOUIS-CHARLES, FRITZ | CHIEF OPERATIONS OFFICER (INCLUDES PRINCIPAL OPERATIONS OFFICER ROLE) | 3232698 |
| RAY, TERRY DAVID | CHIEF REVENUE OFFICER | 5295510 |
| TOURNEY, ROBERT ANDREW | CHIEF COMPLIANCE OFFICER | 6251742 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
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.
