Thomas Newbauer is a registered investment advisor, based in Birmingham, AL, with 29 years of industry experience.
Location
2 Perimeter Park South, Suite 500 West, Birmingham, AL, 35243
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Thomas is a trustee for the Thomas Newbauer Family Number Three Limited Partnership, monitoring the sale and purchase of equities since 2019. This takes about 10-20% of his time.
Employment History
Current Registrations
Stonex Securities INC.Broker
December 2019 - Present · 6 yrs 5 mos
Stonex Advisors INC.
December 2019 - Present · 6 yrs 5 mos
Previous Registrations
Quest Capital Strategies, INC.
June 2005 - December 2019 · 14 yrs 6 mos
Quest Capital Strategies, INC.Broker
May 2001 - December 2019 · 18 yrs 7 mos
Ameritas Investment CORP.Broker
March 1998 - December 2000 · 2 yrs 9 mos
Quest Capital Strategies, INC.Broker
July 1996 - April 1998 · 1 yr 9 mos
State Registrations1 state
CA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.