Emmett Newton is a registered investment advisor, based in Denville, NJ, with 34 years of industry experience. Emmett is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Denville, NJ
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Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2006Closed-No Action
Customer Dispute
April 2006Closed-No Action
Customer Dispute
July 2000Denied
Other Business Activities
Emmett is a notary in Morristown, NJ since 1987, dedicating minimal time to this activity. This activity is investment-related.
Employment History
Current Registrations
Vanderbilt Securities, LLCBroker
January 2026 - Present · 9 mos
Vanderbilt Advisory Services
January 2026 - Present · 9 mos
Previous Registrations
Stifel Independent Advisors, LLC
June 2009 - January 2026 · 16 yrs 7 mos
Stifel Independent Advisors, LLCBroker
June 2009 - January 2026 · 16 yrs 7 mos
Wells Fargo Advisors, LLC
January 2008 - June 2009 · 1 yr 5 mos
Wells Fargo Advisors, LLCBroker
January 2008 - June 2009 · 1 yr 5 mos
A. G. Edwards & Sons, INC.
October 2003 - January 2008 · 4 yrs 3 mos
A. G. Edwards & Sons, INC.Broker
June 1992 - January 2008 · 15 yrs 7 mos
State Registrations8 states
CAMDMTNJNMNYPAUT
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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