Thomas J. Ollquist
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.
Thomas Jude Ollquist was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 12 firms and has passed the Series 63, SIE, Series 55 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
April 7, 2016 - January 10, 2017
NEWBRIDGE SECURITIES CORPORATION
November 4, 2014 - March 12, 2016
AVENIR FINANCIAL GROUP
August 29, 2008 - January 28, 2013
NATIONAL SECURITIES CORPORATION
July 16, 2008 - August 26, 2008
NWT FINANCIAL GROUP, LLC
April 11, 2008 - June 30, 2008
MAXIMUM FINANCIAL INVESTMENT GROUP, INC.
June 16, 2006 - October 30, 2007
FTC CAPITAL MARKETS, INC.
October 2, 2003 - June 8, 2006
NATIONAL SECURITIES CORPORATION
March 3, 2003 - September 26, 2003
RED-HORSE SECURITIES, LLC
August 14, 2002 - March 21, 2003
GREAT EASTERN SECURITIES, INC.
October 31, 2001 - March 25, 2002
GLOBAL PARTNERS SECURITIES INC.
July 20, 1995 - October 3, 2001
GLOBAL PARTNERS SECURITIES INC.
January 20, 1995 - March 9, 1995
GRAYSON FINANCIAL LLC
March 14, 1991 - October 27, 1994
GLOBAL PARTNERS SECURITIES INC.
January 29, 1991 - March 4, 1991
INSTITUTIONAL EQUITY CORPORATION
February 23, 1984 - September 13, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 4/4/2000
Limited Representative-Equity Trader ExamCurrent 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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