Albert S. Humphrey
Professional summary
Albert S Humphrey III, who also goes by Albert S III Humphrey, is a registered financial professional currently at NEWBRIDGE SECURITIES CORPORATION located in Boca Raton, Florida.
Albert is registered as a RR (Registered Representative) and started their career in finance in 1982. Albert has worked at 7 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Albert S Humphrey III's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 17, 2017 - Present
NEWBRIDGE SECURITIES CORPORATION
Office #1: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432June 27, 2008 - August 17, 2017
FINANCIAL WEST GROUP
March 27, 2002 - July 15, 2008
THE SHEMANO GROUP, INC.
April 20, 2001 - May 29, 2002
INTERFIRST CAPITAL CORPORATION
July 30, 1993 - May 17, 2001
WELLS FARGO SECURITIES, LLC
October 25, 1983 - December 20, 1985
SUTRO & CO. INCORPORATED
March 5, 1982 - July 23, 1993
UBS FINANCIAL SERVICES INC.
February 23, 1982 - November 17, 1983
UBS FINANCIAL SERVICES 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
(8/17/2017)
(1/29/2021)
(1/10/2025)
(8/17/2017)
(9/29/2017)
(8/17/2017)
(9/12/2017)
(9/8/2020)
Exams
FINRA
Nasdaq Stock Market
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
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Company Information
NEWBRIDGE SECURITIES CORPORATION
CRD#: 104065Boca Raton, FL 33432TRUST BUT VERIFY
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