Catherine Newman has been an investment adviser representative at Income & Asset Advisory since November 2015, and is not listed among the firm’s executive officers or direct owners.
Income & Asset Advisory, Inc. is an Armonk, NY firm with $175M under management, 287 clients and 4 advisers across 2 offices, as of its August 2026 filing.
Catherine Newman’s longest registration is the current one, 10 years at Income & Asset Advisory since 2015. Before joining Income & Asset Advisory in 2015, Catherine Newman was registered through Fogel Neale Wealth Management, LLC.
- – present · 10 yearsArmonk, NY · Adviser representative · Firm CRD 124955
- Fogel Neale Wealth Management, LLC– · 4 yearsNew York, NY · Adviser representative · Firm CRD 149329
Investment adviser representative registrations
Catherine Newman is registered as an investment adviser representative in New Jersey, since November 2015.
- New JerseySince 23 November 2015
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 29 April 2011 |
| Series 7 | General Securities Representative Examination | 1 November 2010 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Catherine Marie Newman
- CRD
- 5631129
- Firm
- Income & Asset Advisory · CRD 124955
- Office
- 80 BUSINESS PARK DRIVE, SUITE 108, Armonk, NY 10504
- Registration
- Investment adviser and broker registrations
- In the industry since
- November 2010
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Catherine Newman work?
Catherine Newman is an investment adviser representative registered through Income & Asset Advisory, Inc. since November 2015, and is not listed among the firm’s executive officers or direct owners.
Is Catherine Newman a financial advisor?
Yes. Catherine Newman has a current investment-adviser registration in New Jersey, through Income & Asset Advisory since November 2015.
How many years of experience does Catherine Newman have?
Catherine Newman has 15 years in the financial industry, since November 2010, across 2 adviser firms.
What exams has Catherine Newman passed?
Catherine Newman has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in November 2010. FINRA credited Catherine Newman with the SIE, which began in October 2018.
Where did Catherine Newman work before Income & Asset Advisory?
Before Income & Asset Advisory, Catherine Newman was registered through Fogel Neale Wealth Management, LLC, May 2011 to August 2015.
Where is Catherine Newman based?
Catherine Newman’s registered office is in Armonk, NY.
Is Catherine Newman registered with FINRA?
Yes. Catherine Newman has a current broker registration, under CRD 5631129.
Source: FINRA BrokerCheck
How can I verify Catherine Newman’s record?
Search CRD 5631129 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Catherine Newman’s full registration record.
