Paul D. Newman
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 Daniel Newman, who also goes by Dan Newman, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2020. Paul had worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2022 - May 17, 2023
REGENTS PARTNERS, LLC
June 17, 2020 - November 7, 2022
FORESIGHT WEALTH MANAGEMENT, LLC
Primary Firm SEC Registration
REGENTS PARTNERS, LLC
CRD#: 322915 / SEC#: 801-126488
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
REGENTS PARTNERS, LLC
CRD#: 322915 / SEC#: 801-126488
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 405 |
| AUM (Assets Under Management) | $ 165,524,045 |
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.
