Mark L. Keerkel
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.
Mark Leslie Keerkel was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1982. Mark had worked at 15 firms and has passed the Series 63 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
December 3, 2007 - November 21, 2008
NEWBRIDGE SECURITIES CORPORATION
May 23, 2000 - April 10, 2007
MULTI-BANK SECURITIES, INC.
March 4, 1996 - May 9, 2000
SUNCOAST CAPITAL GROUP, LTD.
November 2, 1995 - February 1, 1996
MEYERS POLLOCK ROBBINS, INC.
July 10, 1995 - October 23, 1995
GMS GROUP
January 2, 1991 - May 2, 1995
LEHWALD, OROSEY & PEPE INCORPORATED
December 5, 1989 - July 27, 1990
MORGAN STANLEY DW INC.
November 25, 1988 - October 30, 1989
LEHWALD, OROSEY & PEPE INCORPORATED
April 11, 1988 - December 5, 1988
WESTMINSTER RESEARCH ASSOCIATES LLC
March 31, 1988 - December 5, 1988
NATWEST CAPITAL MARKETS SECURITIES INC.
July 31, 1987 - January 20, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
September 26, 1986 - July 27, 1987
SWINK & COMPANY, INC.
December 11, 1984 - September 23, 1986
TMA GOVERNMENT SECURITIES, LTD.
November 29, 1983 - October 1, 1984
UNITED CAPITAL CORPORATION
June 16, 1982 - October 31, 1983
MARCUS, STOWELL & BEYE, INC.
May 24, 1982 - July 6, 1982
BLINDER, ROBINSON & 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
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.
