Robert S. 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.
Robert Sanders Newman JR, who also goes by Bob Newman, Robert Sanders Newman, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1976. Robert had worked at 19 firms and has passed the Series 63 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2013 - March 28, 2014
SUMMIT BROKERAGE SERVICES, INC.
April 15, 2013 - October 8, 2013
HILLTOP SECURITIES INC.
March 6, 2007 - April 17, 2013
JVB FINANCIAL GROUP, LLC
May 19, 2006 - April 13, 2007
STERNE, AGEE & LEACH, INC.
August 18, 2003 - May 1, 2006
BOK FINANCIAL SECURITIES, INC.
May 14, 2002 - August 19, 2003
GMS GROUP
January 14, 2002 - May 3, 2002
OPPENHEIMER & CO. INC.
September 1, 1999 - December 14, 2001
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
March 25, 1999 - August 18, 1999
ADVEST, INC.
November 26, 1996 - March 15, 1999
GMS GROUP
November 29, 1994 - March 25, 1996
MORGAN STANLEY DW INC.
September 25, 1993 - December 15, 1994
UBS FINANCIAL SERVICES INC.
November 2, 1992 - September 2, 1993
LEHWALD, OROSEY & PEPE INCORPORATED
June 19, 1989 - November 9, 1990
PLANTATION INVESTMENTS, INC.
October 6, 1986 - July 6, 1987
PRINTON, KANE GOVERNMENT SECURITIES, INC.
November 18, 1982 - February 24, 1984
RAUSCHER PIERCE REFSNES, INC.
December 20, 1979 - August 11, 1982
MARSHALL AND MEYER BROKERAGE SERVICES, INC.
March 2, 1978 - January 5, 1980
UMIC, INC.
October 25, 1977 - April 18, 1978
MARCUS, STOWELL & BEYE, INC.
March 25, 1976 - May 18, 1977
LEGEL, BRASWELL SECURITIES CORP.
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
Series 40
Date: 3/6/1976
Registered Principal ExaminationCurrent Firm
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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.
