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DT

David Tod

NEWBRIDGE SECURITIES
Boca Raton, FL 33432
Some features on this profile are disabled
CRD#: 1004317
DT

Professional summary

David Tod II, who also goes by David (ii) Tod, David Tod, David Tod II, David Todd, is a registered financial advisor currently at NEWBRIDGE SECURITIES CORPORATION located in Boca Raton, Florida.

David is registered as a RR (Registered Representative) and started their career in finance in 1981. David has worked at 9 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David (ii) Tod | David Tod | David Tod Ii | David Todd

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Tod II's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 27, 2018 - Present

NEWBRIDGE SECURITIES CORPORATION

Office #1: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432
BD
CRD#: 104065
Boca Raton, FL
Past

August 12, 2015 - January 24, 2018

INTERNATIONAL ASSETS ADVISORY, LLC

BD
CRD#: 10645
BEACHWOOD, OH
Past

March 10, 2009 - May 4, 2015

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA
CRD#: 793
KENT, OH
Past

March 10, 2009 - May 4, 2015

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
KENT, OH
Past

November 13, 2007 - March 10, 2009

BUTLER, WICK & CO., INC.

RIA
CRD#: 120
KENT, OH
Past

November 1, 2007 - March 10, 2009

BUTLER, WICK & CO., INC.

BD
CRD#: 120
KENT, OH
Past

February 15, 1994 - November 15, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
AKRON, OH
Past

February 7, 1992 - November 15, 2007

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
AKRON, OH
Past

February 5, 1988 - March 6, 1992

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

October 7, 1986 - February 18, 1988

L. F. ROTHSCHILD & CO. INCORPORATED

BD
CRD#: 501
Past

August 28, 1981 - October 22, 1986

SCHRODER & CO. INC.

BD
CRD#: 6112
Past

August 22, 1981 - December 10, 1983

WERTHEIM & CO.

BD
CRD#: 3745

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(6/20/2018)
RR
New York
(8/7/2018)
RR
Ohio
(4/30/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 10/14/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/9/1982
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/1981
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

NS
NEWBRIDGE SECURITIES CORPORATION
LUDWIG INVESTMENTS, INC. | NEWBRIDGE SECURITIES CORPORATION | NEWBRIDGE SECURITIES CORP.

CRD#: 104065 / SEC#: , 8-52538

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Phone number
(954) 334-3450
Established
Virginia since 12/17/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NEWBRIDGE FINANCIAL INC.OWNER
BUDDIE, GIOVINA ANNFINOP/COO/ TREASURER/PRINCIPAL OPERATIONS OFFICER1997691
CASOLARO, THOMAS JOSEPHCO-CEO & CHAIRMAN1812805
CHAMPION, CHAD DANASENIOR MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING AND EQUITY CAPITAL MARKETS3038162
ROBLES, VICTOR MANUELFINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER4490918
SLAVIK, RICHARD WAYNECHIEF COMPLIANCE OFFICER2122910
SPITLER, ROBERT PENDELTONCO-CEO/FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER4050312

Disclosures

Regulatory Event33
Arbitration4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065Boca Raton, FL 33432

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