Michael C. Schram
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.
Michael Christopher Schram was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 55 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2018 - February 26, 2019
NEWBRIDGE SECURITIES CORPORATION
November 7, 2018 - February 26, 2019
NFSG CORPORATION
September 22, 2014 - November 15, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 26, 2014 - November 15, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 2, 2004 - August 7, 2008
SCHRAM CAPITAL MANAGEMENT, LLC
November 20, 2000 - January 2, 2003
PALOMA SECURITIES L.L.C.
July 15, 1997 - October 24, 2000
PERSHING LLC
October 17, 1989 - July 14, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 7, 1988 - August 28, 1989
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
March 3, 1988 - May 31, 1988
MLP TRADING CO LLC
June 30, 1986 - March 24, 1987
JAMIE SECURITIES CO.
March 22, 1984 - May 19, 1986
L. F. ROTHSCHILD & CO. 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: 4/18/2000
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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