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Investment Adviser Firm Summary

NEWPORT GROUP SECURITIES, INC. (CRD# 29722 / SEC# 8-44508, 801-60427)
Alternate Names: NEWPORT GROUP SECURITIES, INC. , NEWPORT GROUP, INC. , NEWPORT SECURITIES INSURANCE AGENCY , NEWPORT SECURITIES INSURANCE SERVICES , THE NEWPORT GROUP

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/20/2001

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 06/24/2011
Arizona 06/24/2011
Arkansas 06/24/2011
California 03/06/2003
Colorado 01/12/2011
Connecticut 05/26/2017
Delaware 06/24/2011
District of Columbia 07/15/2004
Florida 11/02/2001
Georgia 06/20/2011
Illinois 10/16/2002
Indiana 06/24/2011
Kentucky 06/18/2013
Louisiana 06/24/2011
Maine 06/24/2011
Maryland 03/06/2003
Massachusetts 06/18/2013
Michigan 06/18/2013
Minnesota 08/28/2006
Missouri 07/15/2004
New Jersey 08/08/2011
New York 06/24/2011
North Carolina 08/29/2002
Ohio 07/20/2001
Oregon 06/18/2013
Pennsylvania 10/25/2002
South Carolina 03/06/2003
Tennessee 07/10/2002
Texas 07/02/2002
Utah 06/18/2013
Virginia 03/06/2003
Wisconsin 06/24/2011

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser