Scott A. Washburn
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Scott Alden Washburn was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1983. Scott had worked at 14 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2022 - March 29, 2023
NEWBRIDGE SECURITIES CORPORATION
July 16, 2020 - September 14, 2022
A.G.P. / ALLIANCE GLOBAL PARTNERS
February 20, 2015 - July 30, 2020
AEGIS CAPITAL CORP.
May 3, 2012 - February 24, 2015
OPPENHEIMER & CO. INC.
May 2, 2012 - February 24, 2015
OPPENHEIMER & CO. INC.
June 1, 2009 - May 1, 2012
MORGAN STANLEY
June 1, 2009 - May 1, 2012
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 20, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
April 20, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
July 1, 2003 - April 22, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - April 22, 2004
WELLS FARGO CLEARING SERVICES, LLC
November 5, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
November 5, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 27, 1994 - January 5, 2000
UBS FINANCIAL SERVICES INC.
February 5, 1994 - September 30, 1994
KIDDER, PEABODY & CO. INCORPORATED
November 9, 1988 - February 10, 1994
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - October 31, 1988
LEHMAN BROTHERS INC.
January 14, 1988 - April 11, 1988
E. F. HUTTON & COMPANY INC
February 26, 1986 - November 20, 1987
MORGAN STANLEY DW INC.
July 6, 1984 - February 26, 1986
UBS FINANCIAL SERVICES INC.
December 3, 1983 - July 24, 1984
MORGAN STANLEY DW 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
Current 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 |
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.
