Daniel Newman has been Chief Compliance Officer of Noble Wealth Management P.B.C. since September 2022, is a control person of the firm and directly owns under 5% of it.
Noble Wealth Management P.B.C. is a Greenwood Village, CO firm with $444M under management, 201 clients and 4 advisers across 2 offices, as of its September 2026 filing.
Daniel Newman’s longest registration was 9 years at Northwestern Mutual Investment Services,llc (2013–2022). Before joining Noble Wealth Management P.B.C. in 2022, Daniel Newman was registered through Northwestern Mutual Investment Services,llc and Key Investment Services LLC.
- – present · 4 yearsGreenwood Village, CO · Adviser representative · Firm CRD 322607
- Northwestern Mutual Investment Services,llc– · 9 yearsDenver, CO · Adviser representative · Firm CRD 2881
- Key Investment Services LLC– · under a yearColorado Springs, CO · Adviser representative · Firm CRD 136300
- T. Rowe Price Advisory Services, Inc.– · 4 yearsColorado Springs, CO · Adviser representative · Firm CRD 108958
Investment adviser representative registrations
Daniel Newman is registered as an investment adviser representative in 2 states, as a resident of Texas. Each was approved in October 2022.
- ColoradoSince 3 October 2022
- TexasResidentSince 3 October 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 31 May 2007 |
| Series 7 | General Securities Representative Examination | 30 April 2007 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Daniel Aaron Newman
- CRD
- 5234508
- Firm
- Noble Wealth Management P.B.C. · CRD 322607
- Role
- Chief Compliance Officer
- Office
- 6400 S FIDDLERS GREEN CIRCLE, SUITE 525, Greenwood Village, CO 80111
- Registration
- Investment adviser registration
- In the industry since
- May 2007
- Disciplinary history
- Not yet shown here · SEC record
Where does Daniel Newman work?
Daniel Newman has been Chief Compliance Officer of Noble Wealth Management P.B.C. since September 2022, and is a control person of the firm.
Is Daniel Newman a financial advisor?
Yes. Daniel Newman has a current investment-adviser registration in Colorado and Texas, through Noble Wealth Management P.B.C. since October 2022.
How many years of experience does Daniel Newman have?
Daniel Newman has 19 years in the financial industry, since May 2007, across 4 adviser firms.
What exams has Daniel Newman passed?
Daniel Newman has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in April 2007. FINRA credited Daniel Newman with the SIE, which began in October 2018.
Where did Daniel Newman work before Noble Wealth Management P.B.C.?
Before Noble Wealth Management P.B.C., Daniel Newman was registered through Key Investment Services LLC, March 2012 to January 2013; T. Rowe Price Advisory Services, Inc., June 2007 to March 2012.
Where is Daniel Newman based?
Daniel Newman’s registered office is in Greenwood Village, CO.
Is Daniel Newman registered with FINRA?
No. Daniel Newman has no current broker registration.
How can I verify Daniel Newman’s record?
Search CRD 5234508 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Daniel Newman’s full registration record.