Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Newman is a financial professional with over 29 years of experience in the industry. James is currently registered with Brean Capital, LLC and has previously been registered with Keefe, Bruyette & Woods, Inc., Advest, Inc., and Prudential Securities Incorporated. James holds Series 7, Series 63, Series 52TO and SIE licenses. James is registered in the states of Florida, Massachusetts, New York, and Ohio.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
03/01/2013 - Present
Brean Capital, LLC (Uniondale NY)
NY
07/09/2002 - 02/25/2013
KEEFE, BRUYETTE & WOODS, INC. (NEW YORK NY)
CT
07/24/2001 - 07/18/2002
ADVEST, INC. (HARTFORD CT)
NY
06/25/1993 - 11/28/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 06/09/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/24/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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