James W. Newman

BANYAN SECURITIES

Larkspur, CA 94939

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CRD#: 716395

Professional summary

James William Newman is a registered financial professional currently at BANYAN SECURITIES, LLC located in Larkspur, California.

James is registered as a RR (Registered Representative) and started their career in finance in 1980. James has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

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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

December 15, 2011 - Present

BANYAN SECURITIES, LLC

Office #1: 17 East Sir Francis Drake Blvd Suite 201, Larkspur, CA 94939Office #2: 17 E Sir Francis Drake Blvd Suite 201, Larkspur, CA 94939

CRD#: 22395

Larkspur, CA

Past

November 3, 2010 - December 15, 2011

SECURITY RESEARCH ASSOCIATES, INC.

CRD#: 8200

SAN FRANCISCO, CA

Past

March 2, 2009 - November 17, 2010

WEDBUSH SECURITIES INC.

CRD#: 877

SAN FRANCISCO, CA

Past

October 23, 1992 - July 8, 2009

PACIFIC GROWTH EQUITIES, LLC

CRD#: 24835

SAN FRANCISCO, CA

Past

April 11, 1992 - September 25, 1992

LOEWENBAUM & COMPANY INCORPORATED

CRD#: 26560

AUSTIN, TX

Past

December 7, 1991 - April 2, 1992

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

January 17, 1990 - December 16, 1991

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

Past

January 1, 1989 - February 2, 1990

WEDBUSH SECURITIES INC.

CRD#: 877

PASADENA, CA

Past

April 12, 1988 - December 10, 1988

HUTCHINSON SECURITIES

CRD#: 10160

SAN FRANCISCO, CA

Past

October 1, 1980 - October 10, 1983

DAVIS, SKAGGS & CO., INC.

CRD#: 208

Past

September 26, 1980 - April 30, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

State Registrations and Notice Filings

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

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

California
(12/15/2011)

Colorado
(12/15/2011)

Connecticut
(2/2/2012)

Florida
(12/15/2011)

Idaho
(12/15/2011)

New York
(12/15/2011)

Texas
(12/15/2011)

Exams

State Security Law Exam

Series 63

Date: 5/8/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/20/1980

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq Stock Market

Current Firm

BANYAN SECURITIES, LLC

BANYAN SECURITIES CO. | BANYAN SECURITIES, LLC

CRD#: 22395 / SEC#: , 8-39716

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

17 E Sir Francis Drake Blvd Suite 201, Larkspur, CA 94939

Mailing Address

17 E Sir Francis Drake Blvd Suite 201, Larkspur, CA 94939

Phone number

(415) 461-0900

Established

California since 12/11/1996

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (12 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CHIUCHIARELLI, CLAUDIO MODESTO	MANAGER,CCO	706517
GREENFIELD, JON	CFO,CEO	1054135

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

James W. Newman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James William Newman's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITY RESEARCH ASSOCIATES, INC.

WEDBUSH SECURITIES INC.

PACIFIC GROWTH EQUITIES, LLC

LOEWENBAUM & COMPANY INCORPORATED

MORGAN KEEGAN & COMPANY, LLC

SUTRO & CO. INCORPORATED

WEDBUSH SECURITIES INC.

HUTCHINSON SECURITIES

DAVIS, SKAGGS & CO., INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/8/1981

SIE

Date: 10/1/2018

Series 7

Date: 9/20/1980

FINRA

NYSE Arca, Inc.

Nasdaq Stock Market

Current Firm

BANYAN SECURITIES, LLC

Contact information

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BANYAN SECURITIES, LLC

TRUST BUT VERIFY

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