Marc 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.
Marc Douglas Newman was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1979. Marc had worked at 7 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2014 - November 9, 2017
INTERCOASTAL CAPITAL MARKETS, INC.
March 7, 2003 - October 9, 2007
RBC CAPITAL MARKETS, LLC
March 13, 1989 - March 7, 2003
FIRST INSTITUTIONAL SECURITIES, L.L.C.
February 1, 1989 - March 25, 1992
BROADWAY FINANCIAL INVESTMENT SERVICES CORP.
July 10, 1987 - February 1, 1989
GLICKENHAUS & CO. - NEW JERSEY
April 4, 1984 - May 26, 1987
HALPERT AND COMPANY, INC.
August 27, 1979 - January 6, 1984
MARKS, ALLEN & CO.
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
Current Firm
INTERCOASTAL CAPITAL MARKETS, INC.
CRD#: 83 / SEC#: , 8-9698
Contact information
FINRA licenses (38 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 2 |
| Bond | 1 |
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.
