David L. 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.
David Lane Newell was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1980. David had worked at 6 firms and has passed the Series 63, Series 5, Series 3, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 1989 - November 1, 1989
RANDELL SECURITIES, INC.
August 1, 1988 - May 8, 1989
PRINCE CAPITAL CORPORATION
June 6, 1988 - October 15, 1988
JAMES LITTLE & ASSOCIATES, INC.
June 11, 1987 - November 18, 1987
GOVERNMENT SECURITIES DEALERS
June 21, 1982 - February 25, 1986
THE ROBINSON-HUMPHREY COMPANY, LLC
December 11, 1980 - August 13, 1982
UNITED CAPITAL SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 2/18/1983
Interest Rate Options ExaminationCurrent Firm
RANDELL SECURITIES, INC.
CRD#: 15839 / SEC#: , 8-32824
Contact information
Documents
Red Flags
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