David M. Keiter
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.
David Marc Keiter, who also goes by David Macrc Keiter, David Keiter, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 8 firms and has passed the Series 63, Series 87, Series 7 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
March 20, 2001 - July 31, 2012
NEWBRIDGE SECURITIES CORPORATION
November 20, 2000 - March 20, 2001
STERLING FINANCIAL INVESTMENT GROUP, INC.
June 17, 1994 - November 20, 2000
JOSEPH CHARLES & ASSOC., INC.
August 17, 1992 - June 20, 1994
TAMARON INVESTMENTS, INC.
January 2, 1987 - July 28, 1992
J. W. GANT & ASSOCIATES, INC.
August 27, 1985 - January 2, 1987
MICHELIN AND COMPANY, INC.
April 23, 1985 - August 29, 1985
BRODIS SECURITIES INCORPORATED
November 21, 1984 - August 20, 1986
STATE CAPITAL FINANCIAL SERVICES CORPORATION
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
