Steven Newman, financial advisor Lincroft NJ
38 score

Steven Newman

CRD Number: 3041185
Current Firm: Tfs Advisory Services

Steven Newman (CRD# 3041185) is an Investment Advisor Representative working at Tfs Advisory Services in Lincroft, NJ and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Tfs Securities, Inc. Lincroft, NJ Jan 2014 - Current 2
Unemployed Toms River, NJ Nov 2013 - Jan 2014 < 1
Lpl Financial Corporation Toms River, NJ Feb 2008 - Nov 2013 5
Banc Of America Investment Services, Inc. Sea Girt, NJ Oct 2005 - Feb 2008 2
Banc Of America Insurance Services, Inc. Sea Girt, NJ Oct 2005 - Feb 2008 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1998
S65 NASAA Investment Advisors Law Examination Mar 2003
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
  • Customer Dispute
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Steven A. Newman
Phone Number: 732-758-9300
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    656
    MILLIONS
  • Total Number of Accounts
    3,282
    ACCOUNTS
  • Average Account Value
    $199,809
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
38

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