Individual Firm
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FREDERIC KIRBY NEWBURGER
CRD#: 1239502
IA
B
BENJAMIN F. EDWARDS & COMPANY, INCORPORATEDCRD#: 146936 3510 North Causeway Blvd
Suite 520
Metairie, LA 70002
Suite 520
Metairie, LA 70002
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12/17/2001
Customer Dispute
Denied
12/7/1999
Employment Separation After Allegations
State Registrations
B
Alabama 4/22/2016
B
Mississippi 4/22/2016
B
Alaska 4/22/2016
B
Missouri 4/22/2016
B
Arizona 12/15/2021
B
New Jersey 4/22/2016
B
Arkansas 5/19/2023
B
New Mexico 4/22/2016
B
California 4/25/2016
B
New York 4/22/2016
B
Colorado 4/22/2016
B
North Carolina 4/22/2016
B
Connecticut 4/22/2016
B
Ohio 4/22/2016
B
Florida 5/17/2016
B
Pennsylvania 4/22/2016
B
Georgia 4/22/2016
B
Rhode Island 4/22/2016
B
Illinois 3/19/2019
B
South Carolina 5/26/2016
B
Louisiana 4/22/2016
B
Tennessee 4/22/2016
IA
Louisiana 4/22/2016
B
Texas 4/22/2016
B
Maryland 4/22/2016
IA
Texas 4/22/2016
B
Massachusetts 4/29/2016
B
Virginia 4/22/2016
SRO Registrations
B
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IA
Registered with this firm since 4/22/2016
B
Registered with this firm since 4/22/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/05/2010 - 04/25/2016 | METAIRIE, LA | |
B | 04/23/2010 - 04/25/2016 | METAIRIE, LA | |
IA | 01/01/2008 - 04/26/2010 | MANDEVILLE, LA | |
B | 01/01/2008 - 04/26/2010 | MANDEVILLE, LA | |
B | 12/14/1999 - 01/03/2008 | MANDEVILLE, LA | |
IA | 06/25/2007 - 01/01/2008 | MANDEVILLE, LA | |
B | 06/26/1990 - 12/13/1999 | BALTIMORE, MD | |
B | 04/23/1984 - 07/03/1990 | MEMPHIS, TN |
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B
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.
IA
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.