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Joel Morton Newman

Uhlmann Price Securities, LLC

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About Joel Morton Newman

Joel Newman is a financial professional with over 18 years of experience in the industry. Joel is currently registered with Uhlmann Price Securities, LLC. Joel has held prior positions with firms including Twenty-First Securities Corporation, Blue Vase Securities, LLC, Raymond C. Forbes & Co., Inc., and Chapdelaine Brokerage LLC. Joel is licensed to conduct business in various states.

Firm Information

Joel Newman is currently registered with Uhlmann Price Securities, LLC. Uhlmann Price Securities, LLC is a Limited Liability Company formed in February 1997. The firm is registered in all 50 states and the District of Columbia.

Not reported

Assets Under Management

Not reported

Total Clients

10

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Joel Newman’s Registration & Firm History

IL

04/12/2019 - Present

Uhlmann Price Securities, LLC (SKOKIE IL)

NY

09/21/2012 - 04/16/2019

TWENTY-FIRST SECURITIES CORPORATION (NEW YORK NY)

NY

10/21/2011 - 01/06/2012

BLUE VASE SECURITIES, LLC (RHINEBECK NY)

NY

06/01/2009 - 12/16/2011

RAYMOND C. FORBES & CO., INC. (RHINEBECK NY)

NY

04/27/2004 - 06/05/2009

CHAPDELAINE BROKERAGE LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/24/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/13/2007

Series 4 - Registered Options Principal Examination

BC

Issued 02/26/2007

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 62 - Corporate Securities Limited Representative Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/21/2009

Series 3 - National Commodity Futures Examination

BC

Issued 02/06/2008

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/13/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Joel Morton Newman. Review regulatory record here.
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