Arthur S. Redler
Professional summary
Arthur Sam Redler was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Arthur is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Arthur had worked at 16 firms, which includes NEWBRIDGE SECURITIES CORPORATION, J. ALEXANDER SECURITIES INC., A.J. MICHAELS & CO. LTD., GROSSMAN & CO. LLC., COLIN WINTHROP & CO. INC., GOLDIS FINANCIAL GROUP INC., CASTLE SECURITIES CORP., FIRST INDEPENDENCE GROUP INC., H. STARR FINANCIAL CORP., ROBERT TODD FINANCIAL CORP., VANDERBILT SECURITIES INC., BERKELEY SECURITIES CORPORATION, DILLON SECURITIES INC., DOUGLAS BREMEN & CO. INC., NORBAY SECURITIES INC., BUCKINGHAM SECURITIES LTD..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2004 - September 29, 2006
NEWBRIDGE SECURITIES CORPORATION
October 9, 2000 - October 7, 2004
J. ALEXANDER SECURITIES, INC.
December 19, 1997 - July 13, 1998
A.J. MICHAELS & CO., LTD.
October 3, 1996 - December 23, 1997
J. ALEXANDER SECURITIES, INC.
November 10, 1994 - October 23, 1996
A.J. MICHAELS & CO., LTD.
April 26, 1994 - November 28, 1994
GROSSMAN & CO., LLC.
September 16, 1993 - March 29, 1994
COLIN WINTHROP & CO., INC.
April 1, 1993 - September 14, 1993
GOLDIS FINANCIAL GROUP, INC.
December 22, 1992 - April 28, 1993
CASTLE SECURITIES CORP.
April 9, 1992 - November 28, 1992
A.J. MICHAELS & CO., LTD.
May 16, 1991 - May 7, 1992
FIRST INDEPENDENCE GROUP INC.
March 20, 1991 - April 22, 1991
H. STARR FINANCIAL CORP.
March 19, 1990 - January 3, 1991
ROBERT TODD FINANCIAL CORP.
January 5, 1990 - April 25, 1990
VANDERBILT SECURITIES, INC.
January 24, 1989 - December 13, 1989
BERKELEY SECURITIES CORPORATION
April 20, 1988 - February 27, 1989
DILLON SECURITIES, INC.
January 2, 1987 - April 7, 1987
DOUGLAS BREMEN & CO., INC.
October 5, 1983 - July 10, 1986
NORBAY SECURITIES INC.
May 26, 1983 - July 28, 1983
BUCKINGHAM SECURITIES, LTD.
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 55
Date: 9/21/2000
Limited Representative-Equity Trader ExamSeries 28
Date: 6/13/1994
Introducing Broker/Dealer Financial Operations Principal 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 |
Red Flags
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