Marshall O. Isaacson
Professional summary
Marshall Owen Isaacson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Marshall is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Marshall had worked at 12 firms, which includes NEWBRIDGE SECURITIES CORPORATION, NATIONAL SECURITIES CORPORATION, LADENBURG THALMANN & CO. INC., OPPENHEIMER & CO. INC., RYAN BECK & CO., GRUNTAL & CO. L.L.C., JANNEY MONTGOMERY SCOTT LLC, PRUDENTIAL EQUITY GROUP LLC, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., UBS FINANCIAL SERVICES INC., J. B. HANAUER & CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2016 - May 22, 2019
NEWBRIDGE SECURITIES CORPORATION
August 10, 2007 - July 5, 2016
NATIONAL SECURITIES CORPORATION
March 7, 2006 - August 14, 2007
LADENBURG THALMANN & CO. INC.
March 24, 2003 - March 2, 2006
OPPENHEIMER & CO. INC.
April 29, 2002 - April 8, 2003
RYAN BECK & CO.
April 22, 2002 - May 20, 2002
GRUNTAL & CO., L.L.C.
January 14, 2000 - April 25, 2002
JANNEY MONTGOMERY SCOTT LLC
August 25, 1996 - January 20, 2000
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - August 29, 1996
CITIGROUP GLOBAL MARKETS INC.
June 18, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
September 8, 1987 - June 12, 1992
UBS FINANCIAL SERVICES INC.
June 22, 1983 - September 21, 1987
J. B. HANAUER & CO.
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
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