Unclaimed Profile

Alan Hamburg Newman

J.J.B. HILLIARD, W.L. LYONS, LLC·LOUISVILLE, Kentucky

SIE, Series 7, Series 8, Series 31, Series 63, Series 65Clean record27 years registeredJ.J.B. HILLIARD, W.L. LYONS, LLC

500 WEST JEFFERSON STREET, LOUISVILLE, KY 40202CRD# 719981Firm CRD# 453

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Alan Hamburg Newman · LOUISVILLE, KY

Registration

CRD #719981 · J.J.B. HILLIARD, W.L. LYONS, LLC · 27 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: J.J.B. HILLIARD, W.L. LYONS, LLC

ROBERT W. BAIRD & CO. INCORPORATED

Oct 2019 – Jan 2020

LOUISVILLE, KY

J.J.B. HILLIARD, W.L. LYONS, LLC

Feb 1999 – Oct 2019

EVANSVILLE, IN

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 8

Series 31

Series 63

Series 65

Registration record

First registered · February 3, 1999

Years registered · 27

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD 453 · SEC 801-23120

AUM

$9.3B

Regulatory assets under management

Employees

1,025

31,198 client accounts

Services offered by J.J.B. HILLIARD, W.L. LYONS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Portfolio management (pooled investments)

Selection of other advisers

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

Institutional Investors

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at J.J.B. HILLIARD, W.L. LYONS, LLC →

Introduction

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Frequently Asked Questions

What services does Alan Hamburg Newman offer?

Alan Hamburg Newman specializes in Financial Planning, Investment Management, Wealth Management.

What are Alan Hamburg Newman's credentials?

Alan Hamburg Newman is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Alan Hamburg Newman located?

Alan Hamburg Newman is based in LOUISVILLE, Kentucky, last registered with J.J.B. HILLIARD, W.L. LYONS, LLC.

How does Alan Hamburg Newman charge for services?

Alan Hamburg Newman's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is J.J.B. HILLIARD, W.L. LYONS, LLC?

J.J.B. HILLIARD, W.L. LYONS, LLC has approximately 1025 employees and manages $9.3B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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