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Detailed Report
SCOTT HALBERT NEWBANKS
SCOTT H NEWBANKS, SCOTT NEWBANKS
CRD#: 1216623
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
20092010201120122013201420152016201720182019IAKMS FINANCIAL SERVICES, INC (CRD# 3866)2017 - 2017 (<1 year)IAUNITED PLANNERS' FINANCIAL SER... (CRD# 20804)2010 - 2017 (7 years)IALPL FINANCIAL CORPORATION (CRD# 6413)2009 - 2010 (1 year)IAMUTUAL SERVICE CORPORATION (CRD# 4806)2009 - 2009 (<1 year)
Disclosure(s)
View By:
8/1/2018
Regulatory
Final
9/29/2017
Employment Separation After Allegations
7/12/2017
Judgment / Lien
9/16/2015
Judgment / Lien
7/22/2014
Judgment / Lien
6/17/2014
Judgment / Lien
6/17/2014
Judgment / Lien
5/28/2014
Judgment / Lien
7/17/2013
Judgment / Lien
1/30/2012
Judgment / Lien
12/29/2011
Judgment / Lien
12/29/2011
Judgment / Lien
Previous Registration(s)
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 10/03/2017 - 11/03/2017 KMS FINANCIAL SERVICES, INC (CRD#:3866) Lake Havasu City, AZ
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 09/08/2010 - 09/29/2017 UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (CRD#:20804) LAKE HAVASU CITY, AZ
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 09/08/2009 - 09/13/2010 LPL FINANCIAL CORPORATION (CRD#:6413) LAKE HAVASU CITY, AZ
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 02/20/2009 - 09/08/2009 MUTUAL SERVICE CORPORATION (CRD#:4806) LAKE HAVASU CITY, AZ
For additional information about investment advisers or broker-dealers, please visit
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.