Jeffrey Newman

Senior Legal and Operations Executive

Role: Associate General Counsel at Cetera Financial Group
Location: New York, NY, US
LinkedIn followers: 500 followers

About Jeffrey Newman

Senior legal and operations executive with over 15 years of experience in the financialservices industry, including senior leadership roles at Charles Schwab, TD Ameritrade, andMariner Wealth Advisors. Proven ability to lead multi-functional teams, implement strategicinitiatives, and oversee complex operational and regulatory frameworks. Expert in RIAcustody, and brokerage platforms. Adept at managing cross-departmental initiatives, enhancing operational efficiency, and fostering a collaborative, compliance-oriented business growth culture.

Experience

Associate General Counsel
Cetera Financial Group
Oct 2025 — Present · San Diego, CA, US

Education

Fordham University School of Law
JD, Law
1998 — 2000
Rutgers University
BA, Political Science
1989 — 1991

Skills

Risk Management
Securities Regulation
Securities
Broker-Dealer
Investment Advisers Act
Sec
Finra
Equities
Ofac
Arbitration
Hedge Funds
Investment Advisory
Financial Services

Contact information

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Work email
•••••@cetera.com
Personal email
•••••@•••••.com
Direct dial
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Current company

Cetera Financial Group

Financial Services · 2.8K employees · San Diego, California, United States

We’re enablers. Mentors. Dream builders. Our purpose is to turn financial aspirations into reality. Within our community lies a vibrant wellspring of growth and opportunity for financial professionals, financial institutions, and individual investors alike. As a premier financial services firm, we don’t just deliver financial technology, bespoke guidance, research and market intelligence, and collaborative client-service platforms. We build environments where ideas thrive, connections flourish, and ambitions become remarkable achievements. Driven to deliver unwavering support and innovative solutions to help people live their purpose, we empower each other and the communities around us to bring a stronger tomorrow to life. ___________________________ Cetera Financial Group (CFG) is a network of independent retail firms, including those that are members of FINRA/SIPC: Cetera Advisors LLC; Cetera Wealth Services, LLC (formerly known as Cetera Advisor Networks); Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors); and Cetera Financial Specialists LLC. Entities registered as investment advisers with the Securities and Exchange Commission include Cetera Investment Management LLC and Cetera Investment Advisers LLC. Cetera’s principal office is located at 655 W. Broadway, 11th Floor, San Diego, CA 92101. Avantax Planning Partners, Inc. (APP) and The Retirement Planning Group, LLC (“TRPG”), are both SEC registered investment advisers within the Aretec Group, Inc. (dba Cetera Holdings, an affiliate of Cetera). Cetera Planning Partners (“CPP”) operates as a doing business as name of TRPG. TRPG and APP currently operate independently. All of the referenced entities are under common ownership.

cetera.com

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About Jeffrey Newman

Experience

Associate General Counsel

Education

Fordham University School of Law

Rutgers University

Skills

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