Derek Newman, financial advisor Litchfield Park AZ

Derek Newman

CRD Number: 5201491
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Derek Newman (CRD# 5201491) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Litchfield Park, AZ and has over 13 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Litchfield Park, AZ Oct 2015 - Current 4
Merrill Lynch, Pierce, Fenner & Smith Incorporated Litchfield Park, AZ Oct 2015 - Current 4
E*trade Capital Management LLC Scottsdale, AZ Jul 2012 - Sep 2015 3
E*trade Securities LLC Scottsdale, AZ Jul 2012 - Sep 2015 3
E*trade Savings Bank Scottsdale, AZ Jul 2012 - Oct 2013 1
Bank Of America, N.a. Scottsdale, AZ Nov 2009 - Jul 2012 2
Merrill Lynch, Pierce, Fenner & Smith Incorporated Glendale, AZ Oct 2009 - Jul 2012 2
Banc Of America Investment Services, Inc. Scottsdale, AZ Aug 2007 - Oct 2009 2
Banc Of America Insurance Services, Inc. Scottsdale, AZ Aug 2007 - Oct 2009 2
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Sep 2006
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:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Derek S. Newman
Phone Number: 800-637-7455
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    797,284
    MILLIONS
  • Total Number of Accounts
    2,472,247
    ACCOUNTS
  • Average Account Value
    $322,494
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

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

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