• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
NEWTON T HASEGAWA JR
NEWTON T HASEGAWA JR
CRD#: 4900549
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 75 ROCKEFELLER PLZ
NEW YORK, NY 10019
Registration History
200620082010201220142016201820202022202420262 FIRMS2005 - Present (19 years)
License(s)

State Registrations

B
California 12/21/2007

B
Maine 7/27/2023

B
Connecticut 4/18/2005

B
New Jersey 2/19/2016

IA
Connecticut 4/18/2005

B
New York 4/18/2005

B
Delaware 5/30/2013

IA
New York 4/19/2021

B
Florida 6/15/2006

B
Pennsylvania 7/21/2022

IA
Florida 11/21/2013

B
Rhode Island 5/31/2013

B
Georgia 2/19/2016

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
75 ROCKEFELLER PLZ, NEW YORK, NY 10019
701 BRICKELL AVE, MIAMI, FL 33131
Registered with this firm since 4/18/2005

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
75 ROCKEFELLER PLZ, NEW YORK, NY 10019
701 BRICKELL AVE, MIAMI, FL 33131
Registered with this firm since 3/23/2005

For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.