NEWPORT COAST SECURITIES, INC.
Legal name: NEWPORT COAST ASSET MANAGEMENT
CRD #16944 SEC #801-67802 NEW YORK, NY 646-259-4700
SEC Registered Broker-Dealer Disclosures
Total AUM
$79M
Discretionary
$79M
Employees
130
Clients
26
Accounts
557
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 18, 2016
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| KESSLER, KRISTOPHER CHARLES | I | COO | NA | Control |
| KESSLER, KRISTOPHER CHARLES | I | COO | NA | Control |
| KESSLER, KRISTOPHER CHARLES | I | COO | NA | Control |
| KESSLER, KRISTOPHER CHARLES | I | COO | NA | Control |
| KESSLER, KRISTOPHER CHARLES | I | COO | NA | Control |
| KESSLER, KRISTOPHER CHARLES | I | COO | NA | Control |
| KESSLER, KRISTOPHER CHARLES | I | COO | NA | Control |
| KESSLER, KRISTOPHER CHARLES | I | COO | NA | Control |
| KESSLER, KRISTOPHER CHARLES | I | COO | NA | Control |
| KESSLER, KRISTOPHER CHARLES | I | COO | NA | Control |
| KESSLER, KRISTOPHER CHARLES | I | COO | NA | Control |
| KESSLER, KRISTOPHER CHARLES | I | COO | NA | Control |
| KESSLER, KRISTOPHER CHARLES | I | COO | NA | Control |
| KESSLER, KRISTOPHER CHARLES | I | COO | NA | Control |
| KESSLER, KRISTOPHER CHARLES | I | COO | NA | Control |
| KESSLER, KRISTOPHER CHARLES | I | COO | NA | Control |
| KESSLER, KRISTOPHER CHARLES | I | COO | NA | Control |
| KESSLER, KRISTOPHER CHARLES | I | COO | NA | Control |
| KESSLER, KRISTOPHER CHARLES | I | COO | NA | Control |
| KESSLER, KRISTOPHER CHARLES | I | COO | NA | Control |
| KESSLER, KRISTOPHER CHARLES | I | COO | NA | Control |
| KESSLER, KRISTOPHER CHARLES | I | COO | NA | Control |
| KESSLER, KRISTOPHER CHARLES | I | COO | NA | Control |
| LEE, KEVIN CHONG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LEE, KEVIN CHONG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LEE, KEVIN CHONG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LEE, KEVIN CHONG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LEE, KEVIN CHONG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LEE, KEVIN CHONG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LEE, KEVIN CHONG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LEE, KEVIN CHONG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LEE, KEVIN CHONG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LEE, KEVIN CHONG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCPHERSON, KATHLEEN MARGARET | I | CEO/PRESIDENT | NA | Control |
| MCPHERSON, KATHLEEN MARGARET | I | CEO/PRESIDENT | NA | Control |
| MCPHERSON, KATHLEEN MARGARET | I | CEO/PRESIDENT | NA | Control |
| MCPHERSON, KATHLEEN MARGARET | I | CEO/PRESIDENT | NA | Control |
| MCPHERSON, KATHLEEN MARGARET | I | CEO/PRESIDENT | NA | Control |
| MCPHERSON, KATHLEEN MARGARET | I | CEO/PRESIDENT | NA | Control |
| MCPHERSON, KATHLEEN MARGARET | I | CEO/PRESIDENT | NA | Control |
| MCPHERSON, KATHLEEN MARGARET | I | CEO/PRESIDENT | NA | Control |
| MCPHERSON, KATHLEEN MARGARET | I | CEO/PRESIDENT | NA | Control |
| MCPHERSON, KATHLEEN MARGARET | I | CEO/PRESIDENT | NA | Control |
| MCPHERSON, KATHLEEN MARGARET | I | CEO/PRESIDENT | NA | Control |
| MCPHERSON, KATHLEEN MARGARET | I | CEO/PRESIDENT | NA | Control |
| MROZ, STANLEY JOHN | I | FINOP | NA | |
| MROZ, STANLEY JOHN | I | FINOP | NA | |
| MROZ, STANLEY JOHN | I | FINOP | NA | |
| MROZ, STANLEY JOHN | I | FINOP | NA | |
| MROZ, STANLEY JOHN | I | FINOP | NA | |
| MROZ, STANLEY JOHN | I | FINOP | NA | |
| MROZ, STANLEY JOHN | I | FINOP | NA | |
| MROZ, STANLEY JOHN | I | FINOP | NA | |
| MROZ, STANLEY JOHN | I | FINOP | NA | |
| MROZ, STANLEY JOHN | I | FINOP | NA | |
| MROZ, STANLEY JOHN | I | FINOP | NA | |
| MROZ, STANLEY JOHN | I | FINOP | NA | |
| ONESTO, RICHARD ERNEST | I | FINOP/CFO | NA | Control |
| ONESTO, RICHARD ERNEST | I | CEO | NA | Control |
| ONESTO, RICHARD ERNEST | I | FINOP/CFO | NA | Control |
| ONESTO, RICHARD ERNEST | I | CCO/FINOP/CFO | NA | Control |
| ONESTO, RICHARD ERNEST | I | FINOP/CFO | NA | Control |
| ONESTO, RICHARD ERNEST | I | CEO | NA | Control |
| ONESTO, RICHARD ERNEST | I | FINOP/CFO | NA | Control |
| ONESTO, RICHARD ERNEST | I | FINOP/CFO | NA | Control |
| ONESTO, RICHARD ERNEST | I | CEO | NA | Control |
| ONESTO, RICHARD ERNEST | I | FINOP/CFO | NA | Control |
| ONESTO, RICHARD ERNEST | I | CEO | NA | Control |
| ONESTO, RICHARD ERNEST | I | CCO/FINOP/CFO | NA | Control |
| ONESTO, RICHARD ERNEST | I | CCO/FINOP/CFO | NA | Control |
| ONESTO, RICHARD ERNEST | I | FINOP/CFO | NA | Control |
| ONESTO, RICHARD ERNEST | I | CEO | NA | Control |
| ONESTO, RICHARD ERNEST | I | FINOP/CFO | NA | Control |
| ONESTO, RICHARD ERNEST | I | FINOP/CFO | NA | Control |
| ONESTO, RICHARD ERNEST | I | FINOP/CFO | NA | Control |
| ONESTO, RICHARD ERNEST | I | CEO | NA | Control |
| SCOTT, DEBORAH ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCOTT, DEBORAH ANN | I | PRESIDENT | NA | Control |
| SCOTT, DEBORAH ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| SCOTT, DEBORAH ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| SCOTT, DEBORAH ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| THORNTON, STEVEN LEE | I | FINOP | NA | |
| WASHBURN, STEPHEN PAUL | I | CHIEF COMPLIANCE OFFICER | NA | |
| WASHBURN, STEPHEN PAUL | I | CHIEF COMPLIANCE OFFICER | NA | |
| WASHBURN, STEPHEN PAUL | I | CHIEF COMPLIANCE OFFICER | NA | |
| WASHBURN, STEPHEN PAUL | I | CHIEF COMPLIANCE OFFICER | NA | |
| WASHBURN, STEPHEN PAUL | I | CHIEF COMPLIANCE OFFICER | NA | |
| WASHBURN, STEPHEN PAUL | I | CHIEF COMPLIANCE OFFICER | NA | |
| WASHBURN, STEPHEN PAUL | I | CHIEF COMPLIANCE OFFICER | NA | |
| WASHBURN, STEPHEN PAUL | I | CHIEF COMPLIANCE OFFICER | NA | |
| WASHBURN, STEPHEN PAUL | I | CHIEF COMPLIANCE OFFICER | NA | |
| WOJNOWSKI, DONALD ANTHONY JR | I | CEO | NA | Control |
| WOJNOWSKI, DONALD ANTHONY JR | I | CEO | NA | Control |
| WOJNOWSKI, DONALD ANTHONY JR | I | CEO | NA | Control |
| WOJNOWSKI, DONALD ANTHONY JR | I | CEO | NA | Control |
| WOJNOWSKI, DONALD ANTHONY JR | I | CEO | NA | Control |
| WOJNOWSKI, DONALD ANTHONY JR | I | CEO | NA | Control |
| WOJNOWSKI, DONALD ANTHONY JR | I | CEO | NA | Control |
| BETTINGEN 1999 TRUST | DE | OWNER | E | Control |
| BETTINGEN, MURRAY GRANT | I | TRUSTEE OF THE BETTINGEN 1999 TRUST/CHIEF COMPLIANCE OFFICER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
| RUBICON FINANCIAL INCORPORATED | DE | OWNER | E | Control |
Registrations
Federal
IA
Mar 18, 2016 REGISTERED
Notice Filings (39)
AL AZ CA CO DE FL GA HI ID IL KS KY LA MA MD ME MI MN MO MS MT NC NE NH NJ NM NV NY OH OR PA SC SD TN TX UT VA WA WV
Address
180 MAIDEN LANE17TH FLOOR
NEW YORK, NY 10038
United States
Phone: 646-259-4700