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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

Derek Newman

Advisor at J.P. MORGAN SECURITIES LLC

GOODYEAR, AZ | TOLLESON, AZ

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Search this name across graphsid dfx:ria:7a51e021-c2ff-078f-6fe3-5beb32833094

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Aug 21, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: J.P. MORGAN SECURITIES LLC
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 29, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Sep 29, 2006
First registration: Aug 21, 2007
Dual registered: yes, broker-dealer
Other names: DEREK STEPHEN NEWMAN|Derek Newman|Derek S Newman
IAPD individual key: 5201491

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
J.P. MORGAN SECURITIES LLC	Wirehouse	May 29, 2026	n/a	yes	GOODYEAR, AZ\|TOLLESON, AZ\|GOODYEAR, AZ	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 27, 2015	Jun 1, 2026	no	LITCHFIELD PARK, AZ\|SUN CITY, AZ\|LAKE HAVASU CITY, AZ\|SUN CITY, AZ\|SUN CITY, AZ\|GOODYEAR, AZ\|PEORIA, AZ\|SCOTTSDALE, AZ	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Aug 13, 2012	Oct 1, 2015	no	ARLINGTON, VA\|SCOTTSDALE, AZ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	Jul 19, 2012	no	PHOENIX, AZ\|GLENDALE, AZ\|SCOTTSDALE, AZ\|PHOENIX, AZ	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Aug 21, 2007	Oct 23, 2009	no	GLENDALE, AZ\|PHOENIX, AZ\|SCOTTSDALE, AZ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	J.P. MORGAN SECURITIES LLC	Jun 1, 2026	May 29, 2026	-3	Firm change	Wirehouse to wirehouse
E*TRADE CAPITAL MANAGEMENT, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 1, 2015	Oct 27, 2015	26	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	E*TRADE CAPITAL MANAGEMENT, LLC	Jul 19, 2012	Aug 13, 2012	25	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7691:79:AZ:2026-05-19	Jun 1, 2026	May 29, 2026	SCOTTSDALE, AZ	Firm change

Relationships

Registered with (4)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
May 29, 2026 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 27, 2015 to Jun 1, 2026factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 13, 2012 to Oct 1, 2015factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Aug 21, 2007 to Oct 23, 2009factForm ADV

Dated events

Occurred
Jun 1, 2026
Advisor changed firm
Derek Newman left Merrill Lynch, Pierce, Fenner & Smith Incorporated for J.P. Morgan Securities Llc (registered 2026-05-29)
Form ADVobserved 4 days ago