Andrew J. Aragona
Professional summary
Andrew James Aragona was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Andrew James Aragona was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1990. Andrew had worked at 8 firms and has passed the Series 65, 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
July 11, 2007 - March 19, 2009
NEWBRIDGE SECURITIES CORPORATION
June 12, 2007 - July 26, 2007
LADENBURG THALMANN & CO. INC.
November 11, 2005 - June 13, 2007
OPPENHEIMER & CO. INC.
January 3, 2002 - December 6, 2005
JANNEY MONTGOMERY SCOTT LLC
January 2, 2001 - December 31, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 7, 1997 - January 2, 2001
JWGENESIS SECURITIES, INC.
September 15, 1994 - November 13, 1997
UBS FINANCIAL SERVICES INC.
March 20, 1990 - September 26, 1994
CITIGROUP GLOBAL MARKETS 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 |
| SPITLER, ROBERT PENDELTON | CO-CEO/FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER / CCO | 4050312 |
Disclosures
| Regulatory Event | 33 |
| Arbitration | 4 |
Red Flags
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