Unclaimed Profile

James Harold Unger

NEWSQUARE CAPITAL, LLC·NEWTOWN SQUARE, Pennsylvania

SIE, Series 6, Series 7, Series 24, Series 63, Series 65CFP24 years registeredNEWSQUARE CAPITAL, LLC

16 CAMPUS BOULEVARD, SUITE 200, NEWTOWN SQUARE, PA 19073-3229CRD# 1989966Firm CRD# 152430

Profile Verification

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

Identity

James Harold Unger · NEWTOWN SQUARE, PA

Registration

CRD #1989966 · NEWSQUARE CAPITAL, LLC · 24 years registered

Brand Profile

Not yet started

Career History

MML INVESTORS SERVICES, LLC

Mar 2017 – present

MSI FINANCIAL SERVICES, INC.

Jan 2015 – Mar 2017

NEWTOWN SQUARE, PA

NEWSQUARE CAPITAL, LLC

Aug 2010 – Dec 2017

NEWTOWN SQUARE, PA

NEW ENGLAND SECURITIES CORPORATION

Jun 2002 – Jan 2015

NEWTOWN SQUARE, PA

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 24

Series 63

Series 65

Registration record

First registered · June 24, 2002

Years registered · 24

Professional designation · CFP

Disclosure History

2023Customer Dispute·Settled

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

NEWSQUARE CAPITAL, LLC

CRD 152430 · SEC 801-70908

AUM

$1.6B

Regulatory assets under management

Employees

3,636 client accounts

Services offered by NEWSQUARE CAPITAL, LLC

Per Form ADV

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Other

Client types served by the firm

Per Form ADV

Individuals

View all advisors at NEWSQUARE CAPITAL, LLC →

Introduction

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Frequently Asked Questions

What services does James Harold Unger offer?

James Harold Unger specializes in Investment Management, Wealth Management. Contact their office in NEWTOWN SQUARE, Pennsylvania for a consultation.

What are James Harold Unger's credentials?

James Harold Unger holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is James Harold Unger located?

James Harold Unger is based in NEWTOWN SQUARE, Pennsylvania, working with NEWSQUARE CAPITAL, LLC. Their office serves clients in the NEWTOWN SQUARE metropolitan area and surrounding communities.

How does James Harold Unger charge for services?

James Harold Unger's firm is compensated through percentage of aum, subscription fees, other: separate account manager. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is NEWSQUARE CAPITAL, LLC?

NEWSQUARE CAPITAL, LLC has approximately 17 employees and manages $1.6B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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