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James Raymond Newman

Ascentis Independent Advisors, LLC

Dallas, TX

Charlotte, NC

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Current Employers
Ascentis Independent Advisors, Llc

5001 Spring Valley Road Suite 810W, Dallas, TX 75244 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2026-01-08
  • NC RA
    APPROVED
    Since 2026-01-08

Branch Locations

5001 Spring Valley Road Suite 810W, Dallas, TX 75244 • United States

211 East Blvd, Charlotte, NC 28203 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Charlotte NC 06/2015 03/2021
Ameriprise Financial Services, Llc Charlotte NC 03/2021 01/2025
Org Partners Roanoke IN 01/2025 01/2026
Ascentis Independent Advisors Dallas TX 01/2026 Present
  • 06/2015 → 03/2021
    Ubs
    Charlotte, NC
  • 03/2021 → 01/2025
    Ameriprise Financial Services, Llc
    Charlotte, NC
  • 01/2025 → 01/2026
    Org Partners
    Roanoke, IN
  • 01/2026 → Present
    Ascentis Independent Advisors
    Dallas, TX
Previous Registrations
Other Businesses

Insurance Licensed

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-10-26
  • S66 Uniform Combined State Law Examination
    2015-10-26
Designations
Other Names
  • James Raymond Newman
  • James Newman

View on SEC IAPD

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