Fred F. Klein
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.
Fred Ferenc Klein, who also goes by Fred F Klein, Fred Ference Klein, was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1983. Fred had worked at 28 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
October 28, 2002 - February 25, 2003
NEWBRIDGE SECURITIES CORPORATION
July 11, 2000 - October 29, 2002
BRILL SECURITIES, INC.
January 11, 2000 - June 30, 2000
SECWEST SECURITIES, INC.
May 24, 1999 - January 6, 2000
DOMINARI SECURITIES LLC
December 5, 1996 - June 10, 1997
PREFERRED SECURITIES GROUP, INC.
March 29, 1996 - October 4, 1996
GLOBAL STRATEGIES GROUP, INC.
May 19, 1993 - January 6, 1995
AMERICAN INVESTMENT SERVICES, INC.
December 23, 1992 - March 12, 1993
R.B. WEBSTER INVESTMENTS, INC.
September 22, 1992 - October 20, 1992
CHATFIELD DEAN & CO., INC.
June 10, 1991 - November 25, 1991
GKN SECURITIES CORP.
March 14, 1991 - May 15, 1991
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 29, 1990 - February 21, 1991
BILTMORE SECURITIES, INC.
September 18, 1990 - October 15, 1990
J. W. GANT & ASSOCIATES, INC.
January 2, 1990 - August 24, 1990
KOBER FINANCIAL CORP.
October 11, 1989 - December 21, 1989
J. T. MORAN & CO., INC.
March 3, 1989 - May 24, 1989
J F LOWE & COMPANY INCORPORATED
February 15, 1989 - February 23, 1989
SLATER FINANCIAL CORPORATION
December 16, 1988 - January 19, 1989
PROFILE INVESTMENTS CORPORATION
December 14, 1988 - January 10, 1989
GRAYSTONE NASH, INC.
October 15, 1987 - November 29, 1988
GREENTREE SECURITIES CORP.
May 7, 1987 - October 27, 1987
JSC SECURITIES, INC.
October 1, 1986 - May 18, 1987
MORGAN STANLEY DW INC.
September 15, 1986 - October 2, 1986
MICHELIN AND COMPANY, INC.
February 25, 1986 - September 26, 1986
JW GENESIS CLEARING CORP.
April 23, 1985 - March 7, 1986
FSC SECURITIES CORPORATION
June 11, 1984 - August 6, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 8, 1983 - June 28, 1984
GRUNTAL & CO., L.L.C.
June 2, 1983 - June 16, 1983
ADVEST, 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.
