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KN

Kevin P. Newman

Some features on this profile are disabled
CRD#: 850447
KN

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.

Kevin Paul Newman was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1978. Kevin had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 2, 2006 - December 17, 2018

PTP SECURITIES, LLC

BD
CRD#: 136832
Stamford, CT
Past

October 11, 2004 - June 15, 2006

NOLAN SECURITIES CORP.

BD
CRD#: 27984
MONTEREY, MA
Past

May 29, 2003 - May 12, 2004

ATLANTIC - PACIFIC CAPITAL, INC.

BD
CRD#: 38356
STAMFORD, CT
Past

November 2, 1999 - April 11, 2003

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

April 11, 1994 - October 1, 1999

TCW FUNDS DISTRIBUTORS LLC

BD
CRD#: 16670
LOS ANGELES, CA
Past

March 23, 1978 - October 8, 1993

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/14/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/18/1978
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/9/1988
General Securities Principal Examination

Current Firm

PS
PTP SECURITIES, LLC
PTP SECURITIES, LLC

CRD#: 136832 / SEC#: , 8-67059

BD
Terminated by SEC on 11/10/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Connecticut since 08/01/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PINNACLE TRUST PARTNERS, LLCOWNER
ALBANI, ATTILIO ALDOCEO, CHIEF COMPLIANCE OFFICER, AMLCO2241936
MEUNIER, CHRISTOPHER JABOAFINANCIAL PRINCIPAL, PFO, POO7407392

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.

Company Information

PTP SECURITIES, LLC

CRD#: 136832

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