Jeffrey A. Broten
Professional summary
Jeffrey Allan Broten was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffrey is a previously registered financial advisor and started their career in finance in 1981. Prior to being barred, Jeffrey had worked at 8 firms, which includes NEWBRIDGE SECURITIES CORPORATION, FIRST STANDARD FINANCIAL COMPANY LLC, NATIONAL SECURITIES CORPORATION, GUNNALLEN FINANCIAL INC, CITIGROUP GLOBAL MARKETS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, UBS FINANCIAL SERVICES INC., R. E. BOLTON & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2019 - December 19, 2019
NEWBRIDGE SECURITIES CORPORATION
February 26, 2018 - August 28, 2019
FIRST STANDARD FINANCIAL COMPANY LLC
December 23, 2009 - March 12, 2018
NATIONAL SECURITIES CORPORATION
October 24, 2006 - December 24, 2009
GUNNALLEN FINANCIAL, INC
October 13, 2006 - December 24, 2009
GUNNALLEN FINANCIAL, INC
October 25, 2002 - October 23, 2006
CITIGROUP GLOBAL MARKETS INC.
November 21, 2000 - October 23, 2006
CITIGROUP GLOBAL MARKETS INC.
February 11, 1995 - November 29, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 29, 1983 - February 8, 1995
UBS FINANCIAL SERVICES INC.
November 25, 1981 - March 21, 1983
R. E. BOLTON & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 3/11/1985
Foreign Currency Options ExaminationCurrent Firm
NEWBRIDGE SECURITIES CORPORATION
CRD#: 104065 / SEC#: , 8-52538
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWBRIDGE FINANCIAL INC. | OWNER | |
| BUDDIE, GIOVINA ANN | FINOP/COO/ TREASURER/PRINCIPAL OPERATIONS OFFICER | 1997691 |
| CASOLARO, THOMAS JOSEPH | CO-CEO & CHAIRMAN | 1812805 |
| CHAMPION, CHAD DANA | SENIOR MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING AND EQUITY CAPITAL MARKETS | 3038162 |
| ROBLES, VICTOR MANUEL | FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4490918 |
| SLAVIK, RICHARD WAYNE | CHIEF COMPLIANCE OFFICER | 2122910 |
| SPITLER, ROBERT PENDELTON | CO-CEO/FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4050312 |
Disclosures
| Regulatory Event | 33 |
| Arbitration | 4 |
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