Brian NewellCRD Number: 5406053
Current Firm: Thornburg Investment Management Inc.
Brian Newell (CRD# 5406053) is an Investment Advisor Representative working at Thornburg Investment Management Inc. in Santa Fe, NM and has over 9 years of experience in the finance industry.
Longview Asset Management, LLC
Santa Fe Advisors LLC
Raymond James Financial Services Advisors, Inc.
|Thornburg Investment Management||Santa Fe, NM||Sep 2010 - Current||7|
|T.rowe Price||Colorado Springs, CO||Aug 2007 - Aug 2010||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 2008|
|S66||NASAA Uniform Combined State Law Examination||Aug 2009|
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:
- Criminal Record
Total Assets Under Management48,971MILLIONS
Total Number of Accounts1,849ACCOUNTS
Average Account Value$26,484,960
- A percentage of assets under your management
- Performance-based fees
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
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