Robert Newell, financial advisor Los Angeles CA
86 score

Robert Newell

CRD Number: 1019653
Current Firm: Royal Alliance Associates, Inc.

Robert Newell (CRD# 1019653) is an Investment Advisor Representative working at Royal Alliance Associates, Inc. in Los Angeles, CA and has over 33 years of experience in the finance industry. Robert Newell has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Nwf Advisory Services Inc. Los Angeles, CA Jul 2007 - Current 9
Royal Alliance Association Tarzana, CA Apr 2005 - Current 11
Self-employed Los Angeles, CA Feb 1987 - Current 29
Financial Security Solutions Corp. Tarzana, CA May 2005 - Jul 2007 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1983
S65 NASAA Investment Advisors Law Examination Dec 1996
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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Robert D. Newell
Phone Number: 800-821-5100 EXT. 5389
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    4,629
    MILLIONS
  • Total Number of Accounts
    19,113
    ACCOUNTS
  • Average Account Value
    $242,202
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)
  • Educational seminars/workshops
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, VI, VT, WA, WI, WV

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BADGES
86

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