Paul M. Newell
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.
Paul Michael Newell, who also goes by Paul M Newell, Paul Michael Newell, Paul Newell, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2018. Paul had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2023 - May 4, 2026
CETERA INVESTMENT ADVISERS LLC
August 10, 2023 - May 4, 2026
CETERA WEALTH SERVICES, LLC
February 23, 2022 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
February 23, 2022 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
January 25, 2021 - January 25, 2022
VERITY INVESTMENT PARTNERS
April 30, 2019 - January 21, 2021
FIFTH THIRD SECURITIES, INC.
April 26, 2019 - January 21, 2021
FIFTH THIRD SECURITIES, INC.
February 21, 2018 - May 13, 2019
TRUIST ADVISORY SERVICES, INC.
January 2, 2018 - April 2, 2019
TRUIST INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
